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Dorothy Canonigo Zabala

Wells Fargo Clearing Services, LLC

Manteca, CA

Fresno, CA

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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
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

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC
U.S. BANCORP ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
J.P. MORGAN SECURITIES LLC
CETERA INVESTMENT ADVISERS LLC
EDWARD JONES
SIERRA OCEAN, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Other Investors

SCOTT THOMAS ESCO
LAURA MICHELLE DEVRIES
CHARLES KENNETH CHRISTENSEN
Robert Douglas Kotval
JACOB RONALD NAVEN
Richard R Magallanes
ZACHARY A. HARLESS
MATTHEW THOMAS LAVERONE

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · MANTECA, CA
AMERIPRISE FINANCIAL SERVICES, LLC · MANTECA, CA
U.S. BANCORP ADVISORS, LLC · Manteca, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Manteca, CA
J.P. MORGAN SECURITIES LLC · MANTECA, CA
CETERA INVESTMENT ADVISERS LLC · MANTECA, CA
EDWARD JONES · MANTECA, CA
J.P. MORGAN SECURITIES LLC · LATHROP, CA

More in Manteca, CA

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