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Jack Duong Tran

Wells Fargo Clearing Services, LLC

Santa Rosa, CA

Santa Rosa, 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 2025-04-18
  • CA RA
    APPROVED
    Since 2025-04-18

Branch Locations

2960 Cleveland Ave, Santa Rosa, CA 95403 • United States

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • 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
Jp Morgan Securities Llc Santa Rosa CA 08/2015 12/2024
Jp Morgan Chase Bank, N.A. Santa Rosa CA 08/2015 12/2024
Wells Fargo Clearing Services, Llc Santa Rosa CA 03/2025 Present
Previous Registrations
  • 2014-12-04 → 2025-04-22
    J.P. Morgan Securities Llc
    Santa Rosa, CA
    Rohnert Park, CA
    Santa Rosa, CA
    Santa Rosa, CA
    Santa Rosa, CA
Other Businesses

COMMERCIAL RENTAL PROPERTY; INV RELATED; SANTA ROSA, CA; 50% OWNERSHIP; START DATE 06/19/2020; 1 HOUR PER MONTH; 0 HOURS DURING TRADING HOURS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-11-25
S63 Uniform Securities Agent State Law Examination 2011-11-15
  • S66 Uniform Combined State Law Examination
    2014-11-25
  • S63 Uniform Securities Agent State Law Examination
    2011-11-15
Other Names
  • Jacky Duong Tran

View on SEC IAPD

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EDWARD JONES · SANTA ROSA, CA
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