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Amy Kuo Caffese

Rbc Capital Markets, LLC

Walnut Creek, CA

Livermore, CA

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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-08-31
TX RA APPROVED 2017-08-30
  • CA RA
    APPROVED
    Since 2017-08-31
  • TX RA
    APPROVED
    Since 2017-08-30

Branch Locations

1331 North California Blvd. Suite 650, Walnut Creek, CA 94596 • United States

Livermore, CA • 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 Dublin/Livermore CA 03/2002 08/2017
Wells Fargo Advisors Llc Livermore CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Livermore CA 11/2016 08/2017
Rbc Capital Markets, Llc Walnut Creek CA 08/2017 Present
Previous Registrations
  • 2011-01-03 → 2017-09-05
    Wells Fargo Clearing Services, Llc
    Livermore, CA
    Orinda, CA
    Walnut Creek, CA
    Lafayette, CA
    Walnut Creek, CA
    San Leandro, CA
    Lafayette, CA
    Lafayette, CA
    Walnut Creek, CA
  • 2007-08-27 → 2011-01-03
    Wells Fargo Investments, Llc
    Dublin, CA
    Livermore, CA
    Dublin, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-08-24
  • S66 Uniform Combined State Law Examination
    2007-08-24
Other Names
  • Amy Kuo
  • Amy Stinson
  • Amy Caffese

View on SEC IAPD

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Annie Claire Klopstock
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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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