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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 2025-10-06
NY RA APPROVED 2025-08-05
NJ RA APPROVED 2025-05-07
  • TX RA
    APPROVED_RES
    Since 2025-10-06
  • NY RA
    APPROVED
    Since 2025-08-05
  • NJ RA
    APPROVED
    Since 2025-05-07

Branch Locations

460 Broadway, New York, NY 10013 • 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
Cetera Investment Services Saint Cloud MN 03/2013 04/2025
Cetera Investment Advisers Llc New York NY 01/2014 04/2025
Wells Fargo Clearing Services, Llc New York NY 04/2025 Present
Previous Registrations
  • 2014-01-21 → 2025-04-30
    New York, NY
  • 2013-03-26 → 2014-01-21
    Cetera Investment Services Llc
    New York, NY
    New York, NY
  • 2007-12-03 → 2013-03-15
    Cetera Investment Services Llc
    Edison, NJ
    New York, NY
    New York, NY
    New York, NY
Other Businesses

RENTAL PROPERTY; INV RELATED; JERSEY CITY, NJ; 100% OWNERSHIP WITH SPOUSE; 04/2006; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-08-04
S66 Uniform Combined State Law Examination 2007-04-21
  • S65 Uniform Investment Adviser Law Examination
    2025-08-04
  • S66 Uniform Combined State Law Examination
    2007-04-21
Other Names
  • Linda Yu Ling Liu
  • Linda Liu-King

View on SEC IAPD

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