Roberto Alejandro Garfias

Current Employers

Wells Fargo Clearing Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-05
CA	RA	APPROVED	2023-01-04

TX RA
APPROVED_RES

Since 2023-01-05
CA RA
APPROVED

Since 2023-01-04

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

7181 Regional St, Dublin, CA 94568 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Oakland	CA	06/2014	01/2023
Bank Of America, N.A.	Oakland	CA	09/2014	01/2023
Wells Fargo Clearing Services, Llc	Walnut Creek	CA	01/2023	Present

06/2014 → 01/2023

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA
09/2014 → 01/2023

Bank Of America, N.A.

Oakland, CA
01/2023 → Present

Wells Fargo Clearing Services, Llc

Walnut Creek, CA

Previous Registrations

2014-06-09 → 2023-01-05

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA
2011-01-03 → 2014-06-09

Wells Fargo Clearing Services, Llc

Oakland, CA

Walnut Creek, CA
2005-11-23 → 2011-01-03

Wells Fargo Investments, Llc

Emeryville, CA

Oakland, CA

Emeryville, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-11-22

S66 Uniform Combined State Law Examination

2005-11-22

Other Names

Roberto Alejandro Garfias Murillo

View on SEC IAPD