Best Investors Account Sign in

Caroline Agamata Mccormick

Wells Fargo Clearing Services, LLC

Los Angeles, CA

Santa Monica, CA

Claim This Profile
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_RES 2021-01-21
CA RA APPROVED 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2021-01-21
  • CA RA
    APPROVED
    Since 2003-07-01

Branch Locations

1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • United States

Santa Monica, CA • 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 Los Angeles CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 Present
Previous Registrations
  • 1997-07-08 → 2003-07-01
    Prudential Equity Group, Llc
    Los Angeles, CA
Other Businesses

TRUSTEE FOR PARENTS; INV. RELATED; SANTA MONICA,CA; TRUSTEE; START DATE 11/06/2022; NUMBER OF HOURS PER MONTH 8; NUMBER OF HOURS DURING TRADING 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-28
S63 Uniform Securities Agent State Law Examination 1992-07-16
  • S65 Uniform Investment Adviser Law Examination
    1994-11-28
  • S63 Uniform Securities Agent State Law Examination
    1992-07-16
Other Names
  • Caroline Maria Agamata
  • Caroline Agamata Mccormick
  • Caroline Maria Agamata
  • Caroline Agamata Mccormick
  • Caroline Agamata

View on SEC IAPD

Other Firms

POST ADVISORY GROUP, LLC
WESTMOUNT PARTNERS, LLC
GIDEON CAPITAL, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
TLG ADVISORS, INC.
NORTHERN TRUST SECURITIES, INC.
NUVEEN ASSET MANAGEMENT, LLC
WEALTHSPIRE RETIREMENT ADVISORY

Other Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER
Sarah Mushtaq Chhotani
Julie Ann Yoon
Olivia R DiNapoli
Natalie Jeanne-Marie Glover
JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

More in Los Angeles, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor