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Dan Pomerantz

Wells Fargo Clearing Services, LLC

St. Louis, MO

Los Angeles, 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
TX RA APPROVED 2026-03-12
CA RA APPROVED 2021-04-20
  • TX RA
    APPROVED
    Since 2026-03-12
  • CA RA
    APPROVED
    Since 2021-04-20

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

333 S Grand Ave 12Th Fl, Los Angeles, CA 90071 • 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
City National Rochdale Beverly Hills CA 04/2016 03/2018
Wells Fargo Bank Los Angeles CA 06/2018 Present
Wells Fargo Clearing Services Los Angeles CA 02/2021 Present
Unemployed Los Angeles CA 03/2018 06/2018
  • 04/2016 → 03/2018
    City National Rochdale
    Beverly Hills, CA
  • 06/2018 → Present
    Wells Fargo Bank
    Los Angeles, CA
  • 02/2021 → Present
    Wells Fargo Clearing Services
    Los Angeles, CA
  • 03/2018 → 06/2018
    Unemployed
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-05-18
S63 Uniform Securities Agent State Law Examination 2012-12-17
S65 Uniform Investment Adviser Law Examination 2003-05-23
  • S66 Uniform Combined State Law Examination
    2021-05-18
  • S63 Uniform Securities Agent State Law Examination
    2012-12-17
  • S65 Uniform Investment Adviser Law Examination
    2003-05-23
Designations

View on SEC IAPD

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