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Dorothy Canonigo Zabala

Wells Fargo Clearing Services, LLC

Manteca, CA

Fresno, CA

CRD 5479376

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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 2021-01-08
  • CA RA
    APPROVED
    Since 2021-01-08

Branch Locations

160 N Main St, Manteca, CA 95336 • United States

6781 N Palm Ave Ste 201 [Nt/Nv-Rbo], Fresno, CA 93704 • 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 Bank, Na Manteca CA 09/2006 Present
Wells Fargo Advisors Llc Stockton CA 01/2013 11/2016
Wells Fargo Clearing Services, Llc Manteca CA 11/2016 Present
  • 09/2006 → Present
    Wells Fargo Bank, Na
    Manteca, CA
  • 01/2013 → 11/2016
    Wells Fargo Advisors Llc
    Stockton, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Manteca, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-01-08
S63 Uniform Securities Agent State Law Examination 2013-03-12
  • S65 Uniform Investment Adviser Law Examination
    2021-01-08
  • S63 Uniform Securities Agent State Law Examination
    2013-03-12
Other Names
  • Dorothy Hope Canonigo Zabala
  • Dorothy Hope Zabala
  • Dorothy Hope C. Zabala

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · MANTECA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · MANTECA, CA
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