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Nicole Luo

Wells Fargo Clearing Services, LLC

Pasadena, CA

Arcadia, 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 2020-12-01
  • CA RA
    APPROVED
    Since 2020-12-01

Branch Locations

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

1200 S Baldwin Ave, Arcadia, CA 91007 • 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 San Gabriel CA 01/2016 11/2016
Wells Fargo Bank, Na Arcadia CA 07/2014 Present
Wells Fargo Clearing Services, Llc Arcadia CA 11/2016 Present
  • 01/2016 → 11/2016
    Wells Fargo Advisors Llc
    San Gabriel, CA
  • 07/2014 → Present
    Wells Fargo Bank, Na
    Arcadia, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Arcadia, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-01
S63 Uniform Securities Agent State Law Examination 2016-11-05
  • S66 Uniform Combined State Law Examination
    2020-12-01
  • S63 Uniform Securities Agent State Law Examination
    2016-11-05
Other Names
  • Nicole Luo
  • Ke Luo

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
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U.S. BANCORP ADVISORS, LLC · Pasadena, CA
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