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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 2020-05-06
WA RA APPROVED 2017-07-07
  • TX RA
    APPROVED_RES
    Since 2020-05-06
  • WA RA
    APPROVED
    Since 2017-07-07

Branch Locations

205 108Th Ave Ne 6Th Fl, Bellevue, WA 98004 • United States

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • 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
J.P. Morgan Securities Llc Renton WA 03/2013 07/2017
Wells Fargo Clearing Services, Llc Seattle WA 07/2017 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-06-15
S63 Uniform Securities Agent State Law Examination 2013-03-18
  • S65 Uniform Investment Adviser Law Examination
    2013-06-15
  • S63 Uniform Securities Agent State Law Examination
    2013-03-18
Other Names
  • Donna Kim
  • Donna J Kim

View on SEC IAPD

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