Richard Gajin Chan

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-02-24

TX RA
APPROVED_RES

Since 2022-02-24

Branch Locations

Sandy, UT • United States

5201 Amelia Earhart Dr 2Nd & 3Rd Fls [Wt & Cst], Salt Lake City, UT 84116 • 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

Organization	City	State	From	To
Wells Fargo Clearing Srvices Llc	Salt Lake City	UT	08/2021	Present
Wells Fargo	Sacramento	CA	07/2020	08/2021
Walgreens	Sacramento	CA	03/2014	07/2020

08/2021 → Present

Wells Fargo Clearing Srvices Llc

Salt Lake City, UT
07/2020 → 08/2021

Wells Fargo

Sacramento, CA
03/2014 → 07/2020

Walgreens

Sacramento, CA

Other Businesses

RENTAL PROPERTY, INV RELATED, SACRAMENTO, CA, 100% OWNERSHIP, START 3/29/2022, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING. UBER TECHNOLOGIES INC, NOT INV RELATED, SANDY, UT, DELIVERY DRIVER, START 5/13/24, 5 HRS PER MONTH, 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-01-03
S63	Uniform Securities Agent State Law Examination	2021-11-23

S66 Uniform Combined State Law Examination

2025-01-03
S63 Uniform Securities Agent State Law Examination

2021-11-23

Other Names

Richard Chan

View on SEC IAPD