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David Michael Liu

Wells Fargo Clearing Services, LLC

Beverly Hills, 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
TX RA APPROVED_RES 2023-06-22
CA RA APPROVED 2018-06-04
  • TX RA
    APPROVED_RES
    Since 2023-06-22
  • CA RA
    APPROVED
    Since 2018-06-04

Branch Locations

433 N Camden Dr 9Th Fl, Beverly Hills, CA 90210 • 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
National Planning Corporation Santa Monica CA 07/2010 12/2017
Wells Fargo Clearing Services, Llc Beverly Hills CA 05/2018 Present
Unemployed Santa Monica CA 01/2018 05/2018
  • 07/2010 → 12/2017
    National Planning Corporation
    Santa Monica, CA
  • 05/2018 → Present
    Wells Fargo Clearing Services, Llc
    Beverly Hills, CA
  • 01/2018 → 05/2018
    Unemployed
    Santa Monica, CA
Previous Registrations
  • 2010-11-10 → 2018-01-02
    National Planning Corporation
    El Segundo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-09
  • S66 Uniform Combined State Law Examination
    2010-11-09

View on SEC IAPD

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