Anna Anh Tu

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
CA	RA	APPROVED	2011-01-03

CA RA
APPROVED

Since 2011-01-03

Branch Locations

360 N Capitol Ave, San Jose, CA 95133 • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Bank.NA	San Jose	CA	04/1993	Present
Wells Fargo Advisors Llc	San Jose	CA	01/2011	11/2016
Wells Fargo Clearing Services, Llc	San Jose	CA	11/2016	Present

04/1993 → Present

Wells Fargo Bank.NA

San Jose, CA
01/2011 → 11/2016

Wells Fargo Advisors Llc

San Jose, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

San Jose, CA

Previous Registrations

2007-09-10 → 2011-01-03

Wells Fargo Investments, Llc

San Jose, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-09-07

S66 Uniform Combined State Law Examination

2007-09-07

Other Names

Anh Thi Tu
Ngoc-Anh Thi Tu

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews