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Keith Adam Phillips

Wells Fargo Clearing Services, LLC

Thousand Oaks, CA

Westlake Village, 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 2021-03-08
  • CA RA
    APPROVED
    Since 2021-03-08

Branch Locations

140 E Thousand Oaks Blvd, Thousand Oaks, CA 91360 • United States

3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • 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 Bank Na Oak Park CA 12/2013 Present
Wells Fargo Advisors Llc Thousand Oaks CA 10/2016 11/2016
Wells Fargo Clearing Services, Llc Oak Park CA 11/2016 Present
  • 12/2013 → Present
    Wells Fargo Bank Na
    Oak Park, CA
  • 10/2016 → 11/2016
    Wells Fargo Advisors Llc
    Thousand Oaks, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Oak Park, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-06
S63 Uniform Securities Agent State Law Examination 2017-04-03
  • S66 Uniform Combined State Law Examination
    2021-03-06
  • S63 Uniform Securities Agent State Law Examination
    2017-04-03
Other Names
  • Keith Phillips

View on SEC IAPD

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