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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

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

175 E Badillo St, Covina, CA 91723 • 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 Bank Na West Covina CA 08/2004 Present
Wells Fargo Advisors Llc Covina CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Covina CA 11/2016 Present
  • 08/2004 → Present
    Wells Fargo Bank Na
    West Covina, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Covina, CA
  • 11/2016 → Present
    Covina, CA
Previous Registrations
  • 2004-11-22 → 2011-01-03
    Wells Fargo Investments, Llc
    Covina, CA
    West Covina, CA
    West Covina, CA
    Covina, CA
Other Businesses

TRUSTEE FOR FATHER, INV RELATED, UPLAND, CA, START: 11/24/2021, 2 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-19
  • S66 Uniform Combined State Law Examination
    2004-11-19

View on SEC IAPD

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