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Ally Chiayin Li

Wells Fargo Clearing Services, LLC

Chino Hills, CA

Pasadena, 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
CA RA APPROVED 2022-11-17
  • CA RA
    APPROVED
    Since 2022-11-17

Branch Locations

15860 Soquel Canyon Pkwy, Chino Hills, CA 91709 • United States

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • 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 West Covina CA 02/2017 01/2022
Wellls Fargo Clearing Services, Llc West Covina CA 03/2019 01/2022
Unemployment Diamond Bar CA 11/2016 01/2017
Founders Veterinary Clinic Brea CA 10/2015 10/2016
J.P. Morgan Securities Llc Diamond Bar CA 02/2022 10/2022
Jp Morgan Chase Bank, N.A. Diamond Bar CA 02/2022 10/2022
Wells Fargo Clearing Services, Llc Hacienda Heights CA 11/2022 Present
Wells Fargo Bank, Na Hacienda Heights CA 11/2022 Present
  • 02/2017 → 01/2022
    Wells Fargo Bank, Na
    West Covina, CA
  • 03/2019 → 01/2022
    Wellls Fargo Clearing Services, Llc
    West Covina, CA
  • 11/2016 → 01/2017
    Unemployment
    Diamond Bar, CA
  • 10/2015 → 10/2016
    Founders Veterinary Clinic
    Brea, CA
  • 02/2022 → 10/2022
    J.P. Morgan Securities Llc
    Diamond Bar, CA
  • 02/2022 → 10/2022
    Jp Morgan Chase Bank, N.A.
    Diamond Bar, CA
  • 11/2022 → Present
    Wells Fargo Clearing Services, Llc
    Hacienda Heights, CA
  • 11/2022 → Present
    Wells Fargo Bank, Na
    Hacienda Heights, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-01
S63 Uniform Securities Agent State Law Examination 2019-06-17
  • S66 Uniform Combined State Law Examination
    2021-12-01
  • S63 Uniform Securities Agent State Law Examination
    2019-06-17
Other Names
  • Chia Yin Li
  • Chia Yin Hsieh
  • Ally Li
  • Chiayin Li
  • Chiayin Yin Li
  • Ally Chia Yin Li

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Chino Hills, CA
EDWARD JONES · CHINO HILLS, CA
SHAH WEALTH ADVISORS · CHINO HILLS, CA
CETERA INVESTMENT ADVISERS LLC · CHINO HILLS, CA
CITIGROUP GLOBAL MARKETS INC. · Chino Hills, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHINO HILLS, CA
J.P. MORGAN SECURITIES LLC · CHINO HILLS, CA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Chino, CA

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