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Rupinder Kaur Malhi

Wells Fargo Clearing Services, LLC

Scottsdale, AZ

Scottsdale, AZ

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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
AZ RA APPROVED 2022-05-23
  • AZ RA
    APPROVED
    Since 2022-05-23

Branch Locations

8601 N Scottsdale Rd Ste 150 [Tl-Rbo], Scottsdale, AZ 85253 • United States

23405 N Scottsdale Rd, Scottsdale, AZ 85255 • 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 Bank N.A. Sun City AZ 03/2010 Present
Wells Fargo Advisors Llc Sun City AZ 01/2011 11/2016
Wells Fargo Clearing Services, Llc Sun City AZ 11/2016 Present
  • 03/2010 → Present
    Wells Fargo Bank N.A.
    Sun City, AZ
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Sun City, AZ
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Sun City, AZ
Other Businesses

RENTAL PROPERTY, INV RELATED, PHOENIX, AZ, 100% OWNERSHIP WITH SPOUSE, START 7/31/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING, LANDLORD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-05-20
S63 Uniform Securities Agent State Law Examination 2007-06-30
  • S66 Uniform Combined State Law Examination
    2022-05-20
  • S63 Uniform Securities Agent State Law Examination
    2007-06-30
Other Names
  • Rupinder Kaur Sohal
  • Rupa Malhi
  • Rupinder Malhi

View on SEC IAPD

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