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Anupa Pandey

Wells Fargo Clearing Services, LLC

Walnut Creek, CA

Piedmont, 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
TX RA APPROVED 2026-07-09
CA RA APPROVED 2021-03-04
  • TX RA
    APPROVED
    Since 2026-07-09
  • CA RA
    APPROVED
    Since 2021-03-04

Branch Locations

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

344 Highland Ave, Piedmont, CA 94611 • 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 Oakland CA 06/2016 11/2016
Wells Fargo Bank, Na Piedmont CA 07/2013 Present
Wells Fargo Clearing Services, Llc Piedmont CA 11/2016 Present
  • 06/2016 → 11/2016
    Wells Fargo Advisors Llc
    Oakland, CA
  • 07/2013 → Present
    Wells Fargo Bank, Na
    Piedmont, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Piedmont, CA
Other Businesses

RENTAL PROPERTY; INV RELATED; SAN PABLO, CA; 100% OWNERSHIP; START 06/01/2024 ; 0 HOURS PER MONTH; 0 HOURS DURING TRADING; LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-04
S63 Uniform Securities Agent State Law Examination 2016-08-16
  • S65 Uniform Investment Adviser Law Examination
    2021-03-04
  • S63 Uniform Securities Agent State Law Examination
    2016-08-16
Other Names
  • Anu Pandey

View on SEC IAPD

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