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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 2020-07-15
CA RA APPROVED 2012-10-25
  • TX RA
    APPROVED
    Since 2020-07-15
  • CA RA
    APPROVED
    Since 2012-10-25

Branch Locations

1900 W 11Th St, Tracy, CA 95376 • United States

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

2600 S Tracy Blvd Ste 110, Tracy, CA 95376 • 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 Santa Rosa CA 10/2012 11/2016
Wells Fargo Clearing Services, Llc Santa Rosa CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2012-10-10
    Modesto, CA
    Modesto, CA
  • 2010-09-08 → 2012-10-01
    Chase Investment Services Corp.
    Manteca, CA
    Modesto, CA
    Manteca, CA
    Modesto, CA
    Modesto, CA
    Modesto, CA
  • 2007-06-07 → 2010-09-20
    Wells Fargo Investments, Llc
    Stockton, CA
    Stockton, CA
Other Businesses

RENTAL PROPERTY, INVT RELATED, TRACY, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 5/1/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, HALF OWNER OF RENTAL.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-06
  • S66 Uniform Combined State Law Examination
    2007-06-06
Designations

View on SEC IAPD

Other Firms

Other Investors

Other Offices

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