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Mitchell Lum

Wells Fargo Clearing Services, LLC

Walnut Creek, CA

CRD 7423742

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2023-06-12
CA RA APPROVED 2022-10-10
  • TX RA
    APPROVED
    Since 2023-06-12
  • CA RA
    APPROVED
    Since 2022-10-10

Branch Locations

1880 Tice Valley Blvd, Walnut Creek, CA 94595 • 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 Walnut Creek CA 07/2021 Present
Unemployed Chicago IL 06/2021 07/2021
Enfusion Chicago IL 07/2018 06/2021
Unemployed Chicago IL 05/2018 07/2018
University Of Illinois At Urbana-Champaign Champaign IL 08/2014 05/2018
  • 07/2021 → Present
    Wells Fargo Advisors
    Walnut Creek, CA
  • 06/2021 → 07/2021
    Unemployed
    Chicago, IL
  • 07/2018 → 06/2021
    Enfusion
    Chicago, IL
  • 05/2018 → 07/2018
    Unemployed
    Chicago, IL
  • 08/2014 → 05/2018
    University Of Illinois At Urbana-Champaign
    Champaign, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-19
  • S66 Uniform Combined State Law Examination
    2022-09-19
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Nearby Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL

Nearby Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA

More in Walnut Creek, CA

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