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Rosario Cabo Chan Cabrera

Wells Fargo Clearing Services, LLC

Seal Beach, CA

CRD 5369567

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
CA RA APPROVED 2015-12-18
TX RA APPROVED 2015-12-18
  • CA RA
    APPROVED
    Since 2015-12-18
  • TX RA
    APPROVED
    Since 2015-12-18

Branch Locations

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • 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 Seal Beach CA 12/2015 11/2016
Wells Fargo Clearing Services, Llc Seal Beach CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-25
  • S66 Uniform Combined State Law Examination
    2007-10-25
Other Names
  • Ningning Velasco Cabo Chan

View on SEC IAPD

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