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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 2025-09-29
CO RA APPROVED 2025-09-03
  • TX RA
    APPROVED_RES
    Since 2025-09-29
  • CO RA
    APPROVED
    Since 2025-09-03

Branch Locations

1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Jpmorgan Chase Bank, N.A. San Francisco CA 10/2022 06/2024
Wells Fargo San Francisco CA 06/2021 10/2022
Signature Bank San Francisco CA 11/2020 01/2021
Wells Fargo San Francisco CA 12/2017 08/2020
Samba Latte Las Vegas NV 08/2017 12/2017
Comcast Fort Collins CO 05/2017 07/2017
Nyala Ethiopian Fort Collins CO 03/2016 12/2016
Collection Center Loveland CO 12/2015 12/2016
Raintree Athletic Club Fort Collins CO 06/2016 03/2017
Starbucks Las Vegas NV 10/2017 11/2017
Corepower Yoga San Francisco CA 01/2018 05/2018
Unemployed Fort Collins CO 04/2017 04/2017
Unemployed Fort Collins CO 09/2020 10/2020
Healthy Life Chiropractic San Francisco CA 02/2021 05/2021
J. P. Morgan Securities Llc San Francisco CA 10/2022 06/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated San Francisco CA 06/2024 07/2024
Arizona State University Tempe AZ 08/2018 08/2022
Front Range Community College Fort Collins CO 01/2003 12/2017
Bank Of America, N.A. San Francisco CA 07/2024 08/2025
Wells Fargo Clearing Services, Llc Denver CO 08/2025 Present
  • 10/2022 → 06/2024
    Jpmorgan Chase Bank, N.A.
    San Francisco, CA
  • 06/2021 → 10/2022
    Wells Fargo
    San Francisco, CA
  • 11/2020 → 01/2021
    Signature Bank
    San Francisco, CA
  • 12/2017 → 08/2020
    Wells Fargo
    San Francisco, CA
  • 08/2017 → 12/2017
    Samba Latte
    Las Vegas, NV
  • 05/2017 → 07/2017
    Comcast
    Fort Collins, CO
  • 03/2016 → 12/2016
    Nyala Ethiopian
    Fort Collins, CO
  • 12/2015 → 12/2016
    Collection Center
    Loveland, CO
  • 06/2016 → 03/2017
    Raintree Athletic Club
    Fort Collins, CO
  • 10/2017 → 11/2017
    Starbucks
    Las Vegas, NV
  • 01/2018 → 05/2018
    Corepower Yoga
    San Francisco, CA
  • 04/2017 → 04/2017
    Unemployed
    Fort Collins, CO
  • 09/2020 → 10/2020
    Unemployed
    Fort Collins, CO
  • 02/2021 → 05/2021
    Healthy Life Chiropractic
    San Francisco, CA
  • 10/2022 → 06/2024
    J. P. Morgan Securities Llc
    San Francisco, CA
  • 06/2024 → 07/2024
    San Francisco, CA
  • 08/2018 → 08/2022
    Arizona State University
    Tempe, AZ
  • 01/2003 → 12/2017
    Front Range Community College
    Fort Collins, CO
  • 07/2024 → 08/2025
    Bank Of America, N.A.
    San Francisco, CA
  • 08/2025 → Present
    Denver, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-12-06
S63 Uniform Securities Agent State Law Examination 2023-01-27
  • S66 Uniform Combined State Law Examination
    2024-12-06
  • S63 Uniform Securities Agent State Law Examination
    2023-01-27
Other Names
  • Shannon Lynn Diaz
  • Shannon Diaz
  • Shannon L Hertzog
  • Shannon Hertzog
  • Shannon L Diaz

View on SEC IAPD

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