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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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_RES 2020-09-24
CA RA APPROVED 2018-08-03
  • TX RA
    APPROVED_RES
    Since 2020-09-24
  • CA RA
    APPROVED
    Since 2018-08-03

Branch Locations

500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • 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 Clearing Services, Llc El Segundo CA 01/2011 01/2018
Wells Fargo Clearing Services, Llc Los Angeles CA 07/2018 Present
Unemployed Los Angeles CA 01/2018 07/2018
Previous Registrations
  • 2011-01-03 → 2018-02-08
    El Segundo, CA
    El Segundo, CA
    Beverly Hills, CA
    El Segundo, CA
    El Segundo, CA
    Los Angeles, CA
    El Segundo, CA
  • 2006-12-07 → 2011-01-03
    Wells Fargo Investments, Llc
    El Segundo, CA
    Los Angeles, CA
    Santa Barbara, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-06
  • S66 Uniform Combined State Law Examination
    2006-12-06
Other Names
  • Chin Chu Son

View on SEC IAPD

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