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Mark Jonathan Hammond

Wells Fargo Clearing Services, LLC

Pasadena, CA

CRD 2187532

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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 2016-08-03
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2016-08-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

350 W Colorado Blvd Ste 390 [Lc-Rbo], Pasadena, CA 91105 • 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 Advisors Llc Pasadena CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 Present
Previous Registrations
  • 2006-05-01 → 2011-01-03
    Wells Fargo Investments, Llc
    Pasadena, CA
    North Hollywood, CA
  • 1998-09-21 → 2006-05-02
    Banc Of America Investment Services, Inc.
    Pasadena, CA
    Pasadena, CA
Other Businesses

MUSICIAN, NOT INV RELATED, SELF EMPLOYED, PASADENA, CA. START: 1/1/2009, 10 HOURS/MONTH, 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-04
S63 Uniform Securities Agent State Law Examination 1992-02-03
  • S65 Uniform Investment Adviser Law Examination
    1998-05-04
  • S63 Uniform Securities Agent State Law Examination
    1992-02-03

View on SEC IAPD

Nearby Firms

CMR CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.

Nearby Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez

Nearby Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA

More in Pasadena, CA

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