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Zhongguang Chen

Wells Fargo Clearing Services, LLC

San Jose, CA

San Bruno, 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
TX RA APPROVED 2024-12-17
CA RA APPROVED 2015-10-02
  • TX RA
    APPROVED
    Since 2024-12-17
  • CA RA
    APPROVED
    Since 2015-10-02

Branch Locations

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States

875 El Camino Real, San Bruno, CA 94066 • 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, Llc San Bruno CA 10/2015 11/2016
Wells Fargo Clearing Services, Llc San Bruno CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2015-10-07
    J.P. Morgan Securities Llc
    Millbrae, CA
    Burlingame, CA
    Burlingame, CA
    Burlingame, CA
  • 2010-01-05 → 2012-10-01
    Chase Investment Services Corp.
    Millbrae, CA
    Burlingame, CA
    Burlingame, CA
  • 2008-06-18 → 2009-12-18
    Wells Fargo Clearing Services, Llc
    Mountain View, CA
    San Leandro, CA
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-17
  • S66 Uniform Combined State Law Examination
    2008-06-17
Other Names
  • Charlie Chen
  • Charley Chen

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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