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Shweta Agarwal

Wells Fargo Clearing Services, LLC

Santa Clara, CA

San Jose, CA

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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 2023-02-22
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2023-02-22
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

3920 Rivermark Plaza, Santa Clara, CA 95054 • United States

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • 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 Santa Clara CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Santa Clara CA 11/2016 Present
Previous Registrations
  • 2005-10-05 → 2011-01-03
    Wells Fargo Investments, Llc
    Santa Clara, CA
    San Jose, CA
    Santa Clara, CA
    Sunnyvale, CA
    Santa Clara, CA
    Santa Clara, CA
  • 2004-12-08 → 2005-08-31
    Morgan Stanley Dw Inc.
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-07
  • S66 Uniform Combined State Law Examination
    2004-12-07

View on SEC IAPD

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