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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-01-09
CA RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2015-01-09
  • CA RA
    APPROVED
    Since 2008-01-01

Branch Locations

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • United States

3020 Old Ranch Pkwy Ste 190 [Oz-Rbo], Seal Beach, CA 90740 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Long Beach CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Long Beach CA 11/2016 Present
Previous Registrations
  • 2004-11-26 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Long Beach, CA
    St. Louis, MO
    Long Beach, CA
Other Businesses

ST JOSEPH CATHOLIC SCHOOL; NOT INV. RELATED; LONG BEACH, CA; FINANCE COMMITTEE MEMBER; START DATE 10/1/2017; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS AND HELP REVIEW FINANCIALS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-24
  • S66 Uniform Combined State Law Examination
    2004-11-24

View on SEC IAPD

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