Best Investors Account Sign in

Roger Huan-Wei Guan

Wells Fargo Clearing Services, LLC

Palo Alto, CA

San Mateo, CA

Claim This Profile
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

301 University Ave [Vd-Rbo], Palo Alto, CA 94301 • United States

1810 Gateway Dr Ste 150, San Mateo, CA 94404 • 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 San Francisco CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 Present
Previous Registrations
  • 2007-06-21 → 2011-01-03
    Wells Fargo Investments, Llc
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-20
  • S66 Uniform Combined State Law Examination
    2007-06-20

View on SEC IAPD

Other Firms

STRATEGIC ADVISERS LLC
CITIGROUP GLOBAL MARKETS INC.
DCVC
DCVC BIO
AMERIPRISE FINANCIAL SERVICES, LLC
WAVERLEY CAPITAL MANAGEMENT, LLC
LUMINARI CAPITAL MANAGEMENT, LLC
CARBIDE VENTURES

Other Investors

DANIEL P MCGOVERN
SIRMA M TZOUTZOVA
LARYSA P SMYKOVSKAYA
CARL WONG
ALISON JONES
AAYUSH KUMAR
JEFFREY MARKS
MARIE WREAKS

Other Offices

STRATEGIC ADVISERS LLC · PALO ALTO, CA
CITIGROUP GLOBAL MARKETS INC. · Palo Alto, CA
DCVC · PALO ALTO, CA
DCVC BIO · PALO ALTO, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Palo Alto, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA
WAVERLEY CAPITAL MANAGEMENT, LLC · PALO ALTO, CA

More in Palo Alto, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor