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Soraya A Rodriguez

Wells Fargo Clearing Services, LLC

Stockton, CA

Sacramento, 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
CA RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

1045 W March Ln, Stockton, CA 95207 • United States

400 Capitol Mall Ste 1700 [Nm-Rbo], Sacramento, CA 95814 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank Na Stockton CA 08/2001 Present
Wells Fargo Advisors Llc Stockton CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Stockton CA 11/2016 Present
  • 08/2001 → Present
    Wells Fargo Bank Na
    Stockton, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Stockton, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Stockton, CA
Previous Registrations
  • 2005-04-12 → 2011-01-03
    Wells Fargo Investments, Llc
    Stockton, CA
    Stockton, CA
    Lodi, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-11
  • S66 Uniform Combined State Law Examination
    2005-04-11
Other Names
  • Soraya A Rodriguez
  • Soraya Ramirez
  • Soraya Auxiliadora Ramirez

View on SEC IAPD

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