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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 2021-07-01
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2021-07-01
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

9354 Wilshire Blvd, Beverly Hills, CA 90212 • United States

137 N Fairfax Ave, Los Angeles, CA 90036 • United States

2141 Rosecrans Ave Ste 4100 [Lg/Lb-Rbo], El Segundo, CA 90245 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Beverly Hills CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Beverly Hills CA 11/2016 Present
Previous Registrations
  • 2009-04-07 → 2011-01-03
    Wells Fargo Investments, Llc
    Beverly Hills, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Beverly Hills, CA
    West Hollywood, CA
  • 2008-07-01 → 2009-04-09
    Wamu Investments, Inc.
    Beverly Hills, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Beverly Hills, CA
Other Businesses

RENTAL PROPERTY, INV. RELATED, ANAHEIM HILLS, CA, 100% OWNERSHIP, START 3/1/2018, 1 HOUR/MONTH, 0 DURING TRADING, LANDLORD. LAW OFFICES OF JULIE N. GANAPOLSKY, NOT INV RELATED, ENCINO, CA, 100% OWNERSHIP BY SPOUSE, START 11/1/2022, ZERO HOURS PER MONTH, ZERO DURING TRADING, AUTHORIZED SIGNER ONLY. MULTI UNIT RENTAL PROPERTIES, INVT RELATED, JACKSONVILLE, FL, 50% OWNERSHIP, START 12/1/2023, 0 HRS PER MONTH AND DURING TRADING, PARTIAL OWNER OF RENTAL UNITS. PAESHER LLC, INV RELATED, JACKSONVILLE, FL, 50% OWNERSHIP, START 10/17/2023, 0 HRS PER MONTH AND DURING TRADING, PARTIAL OWNER OF RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, JACKSONVILLE, FL, 50% OWNERSHIP, START 12/11/2023, ZERO HOURS PER MONTH, ZERO HOURS DUIRNG TRAIDNG.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-30
S63 Uniform Securities Agent State Law Examination 2000-07-31
  • S65 Uniform Investment Adviser Law Examination
    2008-06-30
  • S63 Uniform Securities Agent State Law Examination
    2000-07-31

View on SEC IAPD

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