Mauricio Espinoza

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2021-06-21

CT RA
APPROVED

Since 2021-06-21

Branch Locations

3 Pleasantville Rd, Ossining, NY 10562 • United States

767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Ossining	NY	01/2012	11/2016
Wells Fargo Bank Na	Ossining	NY	03/2005	Present
Wells Fargo Clearing Services, Llc	Ossining	NY	11/2016	Present

01/2012 → 11/2016

Wells Fargo Advisors Llc

Ossining, NY
03/2005 → Present

Wells Fargo Bank Na

Ossining, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Ossining, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-01-07
S63	Uniform Securities Agent State Law Examination	2012-03-13

S66 Uniform Combined State Law Examination

2021-01-07
S63 Uniform Securities Agent State Law Examination

2012-03-13

View on SEC IAPD