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Thomas Chi Kim

Wells Fargo Clearing Services, LLC

Irvine, CA

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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 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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 Los Angeles CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 Present
Previous Registrations
  • 2007-07-17 → 2011-01-03
    Wells Fargo Investments, Llc
    Los Angeles, CA
    West Hollywood, CA
    Los Angeles, CA
    Beverly Hills, CA
    Beverly Hills, CA
    Los Angeles, CA
    Los Angeles, CA
    Beverly Hills, CA
    Beverly Hills, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-16
S63 Uniform Securities Agent State Law Examination 2001-03-29
  • S66 Uniform Combined State Law Examination
    2007-07-16
  • S63 Uniform Securities Agent State Law Examination
    2001-03-29

View on SEC IAPD

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