Steven Tran

Wells Fargo Clearing Services, LLC

Walnut Creek, 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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-01-23
CA	RA	APPROVED	2016-12-01

TX RA
APPROVED_RES

Since 2020-01-23
CA RA
APPROVED

Since 2016-12-01

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

4400 Tassajara Rd Ste A, Dublin, CA 94568 • 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

Organization	City	State	From	To
E*Trade Securities Llc	Palo Alto	CA	08/2015	10/2016
E*Trade Capital Management Llc	Palo Alto	CA	08/2015	10/2016
Wells Fargo Clearing Services, Llc	Walnut Creek	CA	10/2016	Present

08/2015 → 10/2016

E*Trade Securities Llc

Palo Alto, CA
08/2015 → 10/2016

E*Trade Capital Management Llc

Palo Alto, CA
10/2016 → Present

Wells Fargo Clearing Services, Llc

Walnut Creek, CA

Previous Registrations

2015-09-04 → 2016-11-02

Harrisdirect Llc

Palo Alto, CA

Arlington, VA
2014-06-09 → 2015-08-25

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA

Oakland, CA
2011-01-03 → 2014-06-10

Wells Fargo Clearing Services, Llc

Hayward, CA

Oakland, CA

Walnut Creek, CA

Castro Valley, CA
2008-08-01 → 2011-01-03

Wells Fargo Investments, Llc

Hayward, CA
2005-12-08 → 2006-10-17

Wells Fargo Investments, Llc

Berkeley, CA

Hayward, CA

Oakland, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-10-24

S66 Uniform Combined State Law Examination

2005-10-24

View on SEC IAPD

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