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Bopha Lim

Wells Fargo Clearing Services, LLC

Fallbrook, CA

San Diego, 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
CA RA APPROVED 2020-12-10
  • CA RA
    APPROVED
    Since 2020-12-10

Branch Locations

212 S Main Ave, Fallbrook, CA 92028 • United States

4655 Executive Dr Ste 1000 [Sc-Rbo], San Diego, CA 92121 • 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 Fallbrook CA 09/2015 11/2016
Wells Fargo Bank, N.A. Fallbrook CA 04/2015 Present
Wells Fargo Clearing Services, Llc Fallbrook CA 11/2016 Present
  • 09/2015 → 11/2016
    Wells Fargo Advisors, Llc
    Fallbrook, CA
  • 04/2015 → Present
    Wells Fargo Bank, N.A.
    Fallbrook, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Fallbrook, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-10
S63 Uniform Securities Agent State Law Examination 2015-12-03
  • S66 Uniform Combined State Law Examination
    2020-12-10
  • S63 Uniform Securities Agent State Law Examination
    2015-12-03
Other Names
  • Bopha Sou Lim
  • Bopha Lim

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Fallbrook, CA
GEBHART & ASSOCIATES, INC · FALLBROOK, CA
J.P. MORGAN SECURITIES LLC · FALLBROOK, CA
EDWARD JONES · FALLBROOK, CA
EDWARD JONES · FALLBROOK, CA
PATHWAY ADVISORS, LLC · FALLBROOK, CA
WEALTHLYNK, INC. · FALLBROOK, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Fallbrook, CA

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