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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
FL RA APPROVED 2015-05-19
  • FL RA
    APPROVED
    Since 2015-05-19

Branch Locations

350 E Las Olas Blvd 19Th Fl [D3/F7-Rbo], Fort Lauderdale, FL 33301 • United States

1710 S Andrews Ave, Fort Lauderdale, FL 33316 • 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. Wilton Manors FL 04/2015 11/2016
Wells Fargo Bank Na Wilton Manors FL 04/2015 Present
Wells Fargo Clearing Services, Llc Wilton Manors FL 11/2016 Present
  • 04/2015 → 11/2016
    Wells Fargo Advisors, Llc.
    Wilton Manors, FL
  • 04/2015 → Present
    Wells Fargo Bank Na
    Wilton Manors, FL
  • 11/2016 → Present
    Wilton Manors, FL
Previous Registrations
  • 2013-07-19 → 2015-02-25
    Ft Lauderdale, FL
  • 2012-10-02 → 2013-05-03
    Signator Investors, Inc.
    Coconut Grove, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-06-17
S65 Uniform Investment Adviser Law Examination 2012-09-07
  • S63 Uniform Securities Agent State Law Examination
    2015-06-17
  • S65 Uniform Investment Adviser Law Examination
    2012-09-07
Other Names
  • Dao Jun Hauptman
  • Daojun Hauptman
  • Dao Jun Xu-Turner
  • Dao Jun Jun Xu-Turner

View on SEC IAPD

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