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Mitchell Lum

Wells Fargo Clearing Services, LLC

Walnut Creek, 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 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

View on SEC IAPD

Other Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SAVANT WEALTH MANAGEMENT
ONE CAPITAL MANAGEMENT, LLC
ROCKEFELLER FINANCIAL LLC
OSAIC WEALTH, INC.

Other Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL
Sydney Irene Kovacs
DAVID ANTHONY ESPINEIRA
BENJAMIN ROSS PETERS
Annie Claire Klopstock
Alex Kyle Soderberg

Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

More in Walnut Creek, CA

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