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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 2020-02-20
CA RA APPROVED 2012-07-30
  • TX RA
    APPROVED_RES
    Since 2020-02-20
  • CA RA
    APPROVED
    Since 2012-07-30

Branch Locations

2434 Honolulu Ave, Montrose, CA 91020 • United States

3200 Foothill Blvd, La Crescenta, CA 91214 • United States

350 W Colorado Blvd Ste 390 [Ll-Rbo], Pasadena, CA 91105 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Pasadena CA 07/2012 11/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-20
  • S66 Uniform Combined State Law Examination
    2007-11-20

View on SEC IAPD

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