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Sharon Diana Kaplan

Wells Fargo Clearing Services, LLC

Carson City, NV

Roseville, 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 2026-05-25
NV RA APPROVED 2023-11-27
  • TX RA
    APPROVED_RES
    Since 2026-05-25
  • NV RA
    APPROVED
    Since 2023-11-27

Branch Locations

2424 S Carson St Ste 110, Carson City, NV 89701 • United States

1512 Eureka Rd Ste 300 [Rn-Rbo], Roseville, CA 95661 • 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 Cerritos CA 12/2013 09/2019
Wells Fargo Clearing Services, Llc Brea CA 09/2019 09/2023
Wells Fargo Clearing Services, Llc Carson City NV 11/2023 Present
Chase Bank South Lake Tahoe CA 09/2023 10/2023
Wells Fargo Bank, Na Carson City NV 10/2023 Present
Previous Registrations
  • 2011-01-03 → 2023-10-04
    Wells Fargo Clearing Services, Llc
    El Segundo, CA
    Fullerton, CA
    Newport Beach, CA
    Cerritos, CA
    El Segundo, CA
    El Segundo, CA
    Irvine, CA
    Brea, CA
  • 2007-07-24 → 2011-01-03
    Wells Fargo Investments, Llc
    Fullerton, CA
    Brea, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-23
  • S66 Uniform Combined State Law Examination
    2007-07-23

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · CARSON CITY, NV
STATE FARM INVESTMENT MANAGEMENT CORP. · Carson City, NV
STATE FARM INVESTMENT MANAGEMENT CORP. · Carson City, NV
LPL FINANCIAL LLC · CARSON CITY, NV
ALJIAN CAPITAL MANAGEMENT · CARSON CITY, NV
AMERIPRISE FINANCIAL SERVICES, LLC · Carson City, NV
THRIVENT INVESTMENT MANAGEMENT INC. · CARSON CITY, NV
EDWARD JONES · CARSON CITY, NV

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