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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
NV RA APPROVED 2017-10-02
TX RA APPROVED_RES 2016-04-01
CA RA APPROVED 2014-04-07
  • NV RA
    APPROVED
    Since 2017-10-02
  • TX RA
    APPROVED_RES
    Since 2016-04-01
  • CA RA
    APPROVED
    Since 2014-04-07

Branch Locations

4604 W Sahara Ave Ste 3, Las Vegas, NV 89102 • United States

8190 W Sahara Ave, Las Vegas, NV 89117 • United States

8474 Rozita Lee Ave Ste 400 [Sd-Rbo], Las Vegas, NV 89113 • United States

2501 S Rainbow Blvd, Las Vegas, NV 89146 • United States

7590 W Lake Mead Blvd, Las Vegas, NV 89128 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc San Diego CA 04/2014 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2014-04-16
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
    Daly City, CA
    San Diego, CA
  • 2011-06-08 → 2012-10-01
    Chase Investment Services Corp.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
Other Businesses

WRAP CLAN LLC, NOT INV RELATED, LAS VEGAS, NV, 100% OWNERSHIP BY SPOUSE, START 5/9/2022, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, AUTHORIZED SIGNER. IDOLS TRAIL TEAM; NOT INV RELATED; LAS VEGAS,NV; SELL MERCHANDISE;100% OWNERSHIP; START DATE: 10/24/2025; 5 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-06-06
S63 Uniform Securities Agent State Law Examination 2009-05-28
  • S65 Uniform Investment Adviser Law Examination
    2011-06-06
  • S63 Uniform Securities Agent State Law Examination
    2009-05-28
Other Names
  • Mike Lara

View on SEC IAPD

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