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Kristopher Frank Rocha

Wells Fargo Clearing Services, LLC

Riverside, CA

Irvine, 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 2023-01-25
  • CA RA
    APPROVED
    Since 2023-01-25

Branch Locations

483 E Alessandro Blvd, Riverside, CA 92508 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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 Perris CA 03/2014 Present
Wells Fargo Clearing Services, Llc Corona CA 12/2019 05/2021
Wells Fargo Clearing Services, Llc Perris CA 01/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-24
  • S66 Uniform Combined State Law Examination
    2020-11-24
Other Names
  • Kris Rocha
  • Kristopher Rocha

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIVERSIDE, CA
CETERA INVESTMENT ADVISERS LLC · Riverside, CA
UBS FINANCIAL SERVICES INC. · RIVERSIDE, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
WELLS FARGO CLEARING SERVICES, LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA

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