James Kaing

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-26
CA	RA	APPROVED	2020-09-28

TX RA
APPROVED

Since 2022-01-26
CA RA
APPROVED

Since 2020-09-28

Branch Locations

19767 Rinaldi St, Northridge, CA 91326 • United States

16844 San Fernando Mission Blvd, Granada Hills, CA 91344 • United States

3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • 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

Organization	City	State	From	To
Hsbc Bank Usa, N.A.	Pasadena	CA	11/2015	09/2020
Wells Fargo Clearing Services, Llc	Northridge	CA	09/2020	Present

11/2015 → 09/2020

Hsbc Bank Usa, N.A.

Pasadena, CA
09/2020 → Present

Wells Fargo Clearing Services, Llc

Northridge, CA

Previous Registrations

2015-12-10 → 2020-10-19

Hsbc Securities (Usa) Inc.

Alhambra, CA

Pasadena, CA

Glendale, CA

Porter Ranch, CA

Woodland Hills, CA

Other Businesses

GOAT & LEGENDS CARD VAULT, LLC; NOT INV RELATED; NEWPORT BEACH, CA; 100% OWNERSHIP; 08/2025; 16 HOURS PER MONTH; 0 DURING TRADING; SPORTS AND HOBBY TRADING COLLECTIBLE CARDS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-26

S66 Uniform Combined State Law Examination

2015-10-26

Other Names

James John Kaing
James Kaing

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews