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Li-Ming Yin

Wells Fargo Clearing Services, LLC

Rancho Santa Fe, CA

Chesterfield, MO

Ballwin, MO

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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
MO RA APPROVED 2023-01-04
TX RA APPROVED_RES 2022-07-28
CA RA APPROVED 2022-07-21
  • MO RA
    APPROVED
    Since 2023-01-04
  • TX RA
    APPROVED_RES
    Since 2022-07-28
  • CA RA
    APPROVED
    Since 2022-07-21

Branch Locations

16975 Avenida De Acacaias Ste 9, Rancho Santa Fe, CA 92067 • United States

14767 North Outer 40 Rd Fl 2, Chesterfield, MO 63017 • United States

Ballwin, MO • 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 St Louis MO 05/2015 11/2016
Wells Fargo Clearing Services, Llc St Louis MO 11/2016 03/2022
Wells Fargo Clearing Services, Llc Rancho Santa Fe CA 07/2022 Present
Wells Fargo Clearing Services, Llc St Louis MO 03/2022 07/2022
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-01
S63 Uniform Securities Agent State Law Examination 2006-08-24
  • S66 Uniform Combined State Law Examination
    2015-09-01
  • S63 Uniform Securities Agent State Law Examination
    2006-08-24
Other Names
  • Ming Yin
  • Liming Yin

View on SEC IAPD

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DARK HORSE ADVISORS LLC · Rancho Santa Fe, CA
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EAGLE STRATEGIES LLC · Rancho Santa Fe, CA
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