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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 2020-03-25
  • TX RA
    APPROVED
    Since 2020-03-25

Branch Locations

2302 Ranch Rd 620 S, Lakeway, TX 78734 • United States

111 Congress Ave. 3Rd Fl, Ste 300 [Tt-Rbo], Austin, TX 78701 • United States

3407 S 31St St, Temple, TX 76502 • United States

13000 North I H 35 Bldg 3, Austin, TX 78753 • United States

161 W Slaughter Ln Unit N, Austin, TX 78748 • United States

6208 Mcneil Dr, Austin, TX 78729 • United States

505 Round Rock Ave, Round Rock, TX 78664 • United States

700 S I H 35, Georgetown, TX 78628 • United States

19390 Ronald W Reagan Blvd, Georgetown, TX 78628 • 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. Mission Viejo CA 09/2010 11/2016
Wells Fargo Bank Na Mission Viejo CA 01/2010 Present
Wells Fargo Clearing Services, Llc Mission Viejo CA 11/2016 Present
  • 09/2010 → 11/2016
    Wells Fargo Advisors, Llc.
    Mission Viejo, CA
  • 01/2010 → Present
    Wells Fargo Bank Na
    Mission Viejo, CA
  • 11/2016 → Present
    Mission Viejo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-30
S63 Uniform Securities Agent State Law Examination 2012-10-30
  • S66 Uniform Combined State Law Examination
    2020-05-30
  • S63 Uniform Securities Agent State Law Examination
    2012-10-30
Designations
Other Names
  • Jose Francisco Soria
  • Ponch Soria
  • Frank Soria
  • Frank Soria

View on SEC IAPD

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