Thao Nhu Thi Pham

Wells Fargo Clearing Services, LLC

Walnut Creek, 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

Authority	Category	Status	Date
CA	RA	APPROVED	2022-04-28

CA RA
APPROVED

Since 2022-04-28

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

1715 Landess Ave, Milpitas, CA 95035 • 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

Organization	City	State	From	To
Jp Morgan Securities Llc	San Jose	CA	02/2015	11/2016
Jpmorgan Chase Bank	San Jose	CA	05/2013	11/2016
Hsbc Securities (Usa)	Milpitas	CA	10/2016	11/2021
Hsbc Bank Usa Na	Milpitas	CA	10/2016	11/2021
Wells Fargo Clearing Services, Llc	Milpitas	CA	01/2022	Present
Wells Fargo Bank, Na	Milpitas	CA	01/2022	Present

02/2015 → 11/2016

Jp Morgan Securities Llc

San Jose, CA
05/2013 → 11/2016

Jpmorgan Chase Bank

San Jose, CA
10/2016 → 11/2021

Hsbc Securities (Usa)

Milpitas, CA
10/2016 → 11/2021

Hsbc Bank Usa Na

Milpitas, CA
01/2022 → Present

Wells Fargo Clearing Services, Llc

Milpitas, CA
01/2022 → Present

Wells Fargo Bank, Na

Milpitas, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-04-28
S63	Uniform Securities Agent State Law Examination	2015-09-04

S66 Uniform Combined State Law Examination

2022-04-28
S63 Uniform Securities Agent State Law Examination

2015-09-04

Other Names

Thao N Pham
Thao Pham
Thao Nhi Pham
Thao Nhu Thi Pham

View on SEC IAPD

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