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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 2017-05-12
CA RA APPROVED 2014-08-14
  • TX RA
    APPROVED
    Since 2017-05-12
  • CA RA
    APPROVED
    Since 2014-08-14

Branch Locations

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

Cerritos, CA • 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 Seal Beach CA 08/2014 11/2016
Wells Fargo Clearing Services, Llc Seal Beach CA 11/2016 Present
Previous Registrations
  • 2009-10-23 → 2014-08-18
    Torrance, CA
    Long Beach, CA
    Long Beach, CA
    Long Beach, CA
    Rolling Hills Estates, CA
  • 2006-11-17 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Long Beach, CA
    Long Beach, CA
    Long Beach, CA
    Torrance, CA
    Long Beach, CA
  • 2005-01-01 → 2005-10-05
    Citicorp Investment Services
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-12-22
  • S66 Uniform Combined State Law Examination
    2004-12-22
Designations

View on SEC IAPD

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