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Jorge Maximiliano Herrera

Wells Fargo Clearing Services, LLC

Irvine, CA

Seal Beach, CA

CRD 7113904

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2022-01-14
  • CA RA
    APPROVED
    Since 2022-01-14

Branch Locations

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States

12310 Seal Beach Blvd, Seal Beach, CA 90740 • 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 Downey CA 10/2015 Present
Wells Fargo Clearing Services Llc Lakewood CA 04/2019 05/2021
Wells Fargo Clearing Services, Llc Downey CA 08/2021 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-14
S63 Uniform Securities Agent State Law Examination 2019-07-09
  • S66 Uniform Combined State Law Examination
    2022-01-14
  • S63 Uniform Securities Agent State Law Examination
    2019-07-09
Other Names
  • Jorge Herrera

View on SEC IAPD

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