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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 2012-08-21
CA RA APPROVED 2012-06-04
  • TX RA
    APPROVED
    Since 2012-08-21
  • CA RA
    APPROVED
    Since 2012-06-04

Branch Locations

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • 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 Advisors, Llc Seal Beach CA 08/2011 11/2016
Wells Fargo Clearing Services, Llc Seal Beach CA 11/2016 Present
Other Businesses

(3) RENTAL PROPERTIES, INV RELATED, PUEBLO, CO, 50% OWNERSHIP, START 10/2016, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD. (3) RENTAL PROPERTIES, INV RELATED, PUEBLO, CO, 50% OWNERSHIP, START 10/17/2017, 6 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD. LOS PANAS LTD LLC, INV RELATED, PARKER, CO, START 10/30/2017, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: PURCHASE RENTAL PROPERTY. (2) RENTAL PROPERTIES, INV RELATED, PUEBLO, CO, 50% OWNERSHIP, START 4/17/2019, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD. RENTAL PROPERTY, INV RELATED, PUEBLO, CO, 50% OWNERSHIP, START 3/1/2019, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD. RENTAL PROPERTY, INV RELATED, PUEBLO, CO, 50% OWNERSHIP, START 1/1/2019, 2 HOURS PER MONTH/0 DURING TRADING, DUTIES: LANDLORD. RENTAL PROPERTY, INVT RELATED, PUEBLO, CO, 50% OWNERSHIP, START 9/30/2019, 5 HRS PER MONTH, 0 HRS DURING TRADING, MANAGE PROPERTY RENTAL PROPERTY, INV RELATED, PUEBLO, CO, 50% OWNERSHIP, START 8/6/2020, 2 HOURS PER MONTH, ZERO DURING TRADING, MANAGE PROPERTY. AUTHOR; NON INV RELATED; COSTA MESA, CA; FICTIONAL ADVENTURE BOOK TITLED THE WENDALS; START: 2/2021; 0 HR/MO; 0 DURING TRADING. RENTAL PROPERTY; INVESTMENT RELATED; NORTH LITTLE ROCK, AR; 50% OWNERSHIP; START 4/2/2021; 2 HOURS PER MONTH; ZERO HOURS DURING TRADING. RENTAL PROPERTY; INVESTMENT RELATED; LITTLE ROCK, AR, 50% OWNERSHIP, START 4/2/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0. (2) RENTAL PROPERTIES, INV RELATED, HOT SPRINGS, AR, 50% OWNERSHIP, 3/4/2022, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-01
  • S66 Uniform Combined State Law Examination
    2012-06-01

View on SEC IAPD

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