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William Sa

Wells Fargo Clearing Services, LLC

Greenbrae, CA

Santa Rosa, CA

CRD 6088544

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-06-16
CA RA APPROVED 2023-06-02
  • TX RA
    APPROVED_RES
    Since 2023-06-16
  • CA RA
    APPROVED
    Since 2023-06-02

Branch Locations

100 Bon Air Shopping Ctr, Greenbrae, CA 94904 • United States

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • 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 San Anselmo CA 06/2012 11/2016
Wells Fargo Clearing Services, Llc San Anselmo CA 11/2016 04/2019
Citigroup San Francisco CA 12/2019 04/2023
Unemployed San Rafael CA 04/2019 06/2019
Unison Home Co- Investment Company San Francisco CA 06/2019 12/2019
Wells Fargo Clearing Services, Llc Santa Rosa CA 04/2023 Present
  • 06/2012 → 11/2016
    Wells Fargo Advisors, Llc
    San Anselmo, CA
  • 11/2016 → 04/2019
    Wells Fargo Clearing Services, Llc
    San Anselmo, CA
  • 12/2019 → 04/2023
    Citigroup
    San Francisco, CA
  • 04/2019 → 06/2019
    Unemployed
    San Rafael, CA
  • 06/2019 → 12/2019
    Unison Home Co- Investment Company
    San Francisco, CA
  • 04/2023 → Present
    Wells Fargo Clearing Services, Llc
    Santa Rosa, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-03-16
S63 Uniform Securities Agent State Law Examination 2012-08-14
  • S65 Uniform Investment Adviser Law Examination
    2020-03-16
  • S63 Uniform Securities Agent State Law Examination
    2012-08-14

View on SEC IAPD

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