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Kevin Tran

Wells Fargo Clearing Services, LLC

Irvine, CA

CRD 7191383

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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
TX RA APPROVED 2022-09-26
CA RA APPROVED 2022-08-03
  • TX RA
    APPROVED
    Since 2022-09-26
  • CA RA
    APPROVED
    Since 2022-08-03

Branch Locations

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
Jpmorgan Chase Securities Llc Garden Grove CA 10/2019 03/2022
Jpmorgan Chase Bank N.A. Garden Grove CA 10/2019 03/2022
Jpmorgan Chase Bank N.A. Garden Grove CA 10/2018 09/2019
Ace Parking Huntington Beach CA 05/2017 04/2019
Ikea Costa Mesa CA 06/2017 08/2017
Unemployed Garden Grove CA 09/2016 04/2017
Wells Fargo Clearing Services, Llc Irvine CA 03/2022 Present
  • 10/2019 → 03/2022
    Jpmorgan Chase Securities Llc
    Garden Grove, CA
  • 10/2019 → 03/2022
    Jpmorgan Chase Bank N.A.
    Garden Grove, CA
  • 10/2018 → 09/2019
    Jpmorgan Chase Bank N.A.
    Garden Grove, CA
  • 05/2017 → 04/2019
    Ace Parking
    Huntington Beach, CA
  • 06/2017 → 08/2017
    Ikea
    Costa Mesa, CA
  • 09/2016 → 04/2017
    Unemployed
    Garden Grove, CA
  • 03/2022 → Present
    Wells Fargo Clearing Services, Llc
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-08-03
S63 Uniform Securities Agent State Law Examination 2019-12-18
  • S66 Uniform Combined State Law Examination
    2022-08-03
  • S63 Uniform Securities Agent State Law Examination
    2019-12-18

View on SEC IAPD

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Nearby Investors

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HAN CHEN
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Nearby Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA

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