Best Investors Account Sign in

Cassandra Rodriguez

Wells Fargo Clearing Services, LLC

San Diego, CA

Claim This Profile
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 2021-03-24
  • TX RA
    APPROVED_RES
    Since 2021-03-24

Branch Locations

4655 Executive Dr 10Th Fl [Vj-Rbo], San Diego, CA 92121 • 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 Bank Na El Cajon CA 11/2009 10/2019
Wells Fargo Clearing Services Llc El Cajon CA 02/2019 10/2019
Citizens Bank Burlington VT 11/2019 02/2020
Citizens Securities, Inc Burlington VT 11/2019 02/2020
Wells Fargo Clearing Services, Llc Burlington VT 02/2020 12/2020
Wells Fargo Clearing Services, Llc San Diego CA 02/2021 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-04-15
  • S63 Uniform Securities Agent State Law Examination
    2019-04-15

View on SEC IAPD

Other Firms

CETERA INVESTMENT ADVISERS LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RBC CAPITAL MARKETS, LLC
CETERA INVESTMENT MANAGEMENT LLC
ONE CAPITAL MANAGEMENT, LLC
TRIVANT CUSTOM PORTFOLIO GROUP LLC
SILVIA MCCOLL WEALTH MANAGEMENT, LLC
RICE HALL JAMES & ASSOCIATES LLC

Other Investors

Summer Rae Pretzer
Jeffrey Raymond Dockan
Arben Qirjazi
James Grandinetti
RYAN MAUL
JAMES T FARLEY
ASHLEY LYNN TESTER
Megan Polizzi

Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

More in San Diego, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor