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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 2024-11-15
CA RA APPROVED 2016-09-30
  • TX RA
    APPROVED
    Since 2024-11-15
  • CA RA
    APPROVED
    Since 2016-09-30

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

2220 Mountain Blvd, Oakland, CA 94611 • United States

3348 Lakeshore Ave, Oakland, CA 94610 • United States

Disclosures

1 disclosure category 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. San Leandro CA 05/2007 09/2016
Welsl Fargo Advisors, Llc Walnut Creek CA 09/2016 Present
Previous Registrations
  • 2007-05-29 → 2016-10-07
    Alameda, CA
    San Leandro, CA
    Hayward, CA
    San Jose, CA
    San Francisco, CA
    Glendale, CA
    Glen Burnie, MD
    San Jose, CA
    Hayward, CA
    El Cerrito, CA
    San Antonio, TX
    San Francisco, CA
    San Leandro, CA
    Pasadena, CA
    San Francisco, CA
    Glendale, CA
    San Francisco, CA
    San Leandro, CA
    San Lorenzo, CA
  • 2004-10-29 → 2007-05-29
    Citicorp Investment Services
    San Leandro, CA
    San Leandro, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-27
S63 Uniform Securities Agent State Law Examination 2000-05-24
  • S65 Uniform Investment Adviser Law Examination
    2004-10-27
  • S63 Uniform Securities Agent State Law Examination
    2000-05-24
Designations

View on SEC IAPD

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