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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_RES 2018-07-06
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2018-07-06
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

6781 N Palm Ave Ste 201 [Nt/Nv-Rbo], Fresno, CA 93704 • United States

10614 Trinity Pkwy, Stockton, CA 95219 • 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 Orange/Stockton CA 06/2007 Present
Wells Fargo Advisors Llc Stockton CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Stockton CA 11/2016 Present
  • 06/2007 → Present
    Wells Fargo Bank
    Orange/Stockton, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Stockton, CA
  • 11/2016 → Present
    Stockton, CA
Previous Registrations
  • 2007-06-29 → 2011-01-03
    Wells Fargo Investments, Llc
    Stockton, CA
    Santa Ana, CA
    Newport Beach, CA
    Orange, CA
  • 2005-02-25 → 2005-07-01
    A. G. Edwards & Sons, Inc.
    Laguna Hills, CA
Other Businesses

SPORTS CARD RESALE, NOT INVT RELATED, WOODBRIDGE, CA, 100% OWNERSHIP, START DATE 5/4/2020, 20 HRS PER MONTH, 0 HRS DURING TRADING, BUYING AND SELLING SPORTS CARDS, OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-24
  • S66 Uniform Combined State Law Examination
    2005-02-24

View on SEC IAPD

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