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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 2021-09-21
  • CA RA
    APPROVED
    Since 2021-09-21

Branch Locations

350 W Colorado Blvd Ste 390 [Lc-Rbo], Pasadena, CA 91105 • United States

2444 Wilshire Blvd, Santa Monica, CA 90403 • United States

1300 4Th St, Santa Monica, CA 90401 • 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 Bank Na Marina Del Rey CA 11/2014 Present
Wells Fargo Clearing Services Llc Marina Del Rey CA 03/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-20
S63 Uniform Securities Agent State Law Examination 2017-06-23
  • S66 Uniform Combined State Law Examination
    2021-09-20
  • S63 Uniform Securities Agent State Law Examination
    2017-06-23
Other Names
  • Ifeanyi Louis Al Ukatu
  • Ifeanyi Ukatu

View on SEC IAPD

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