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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 2017-12-05
  • CA RA
    APPROVED
    Since 2017-12-05

Branch Locations

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

8345 Firestone Blvd, Downey, CA 90241 • United States

16230 Paramount Blvd Ste D, Paramount, CA 90723 • United States

9323 Firestone Blvd, Downey, CA 90241 • United States

17037 Bellflower Ave, Bellflower, CA 90706 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
U.S. Bancorp Investments, Inc. Seal Beach CA 04/2010 12/2017
Wells Fargo Clearing Services, Llc Los Angeles CA 12/2017 Present
Previous Registrations
  • 2010-05-04 → 2017-12-11
    Garden Grove, CA
    Seal Beach, CA
    Huntington Beach, CA
    Westminster, CA
    Fountain Valley, CA
    Santa Ana, CA
    Garden Grove, CA
    Seal Beach, CA
    Fountain Valley, CA
    Seal Beach, CA
    Long Beach, CA
    Long Beach, CA
    Long Beach, CA
  • 2009-05-02 → 2010-04-16
    Chase Investment Services Corp.
    Whittier, CA
    Seal Beach, CA
  • 2008-09-17 → 2009-05-02
    Wamu Investments, Inc.
    La Puente, CA
    Whittier, CA
    Whittier, CA
    Whittier , CA
    Whittier, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-16
S63 Uniform Securities Agent State Law Examination 2005-03-16
  • S65 Uniform Investment Adviser Law Examination
    2008-09-16
  • S63 Uniform Securities Agent State Law Examination
    2005-03-16
Other Names
  • Lorena Rubio
  • Lorena Ramos

View on SEC IAPD

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