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Joseph Carlyle Frank

Wells Fargo Clearing Services, LLC

Oakland, CA

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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-11-18
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2016-11-18
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

151 40Th St, Oakland, CA 94611 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • 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 Oakland CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Oakland CA 11/2016 Present
Previous Registrations
  • 1998-04-06 → 2011-01-03
    Wells Fargo Investments, Llc
    Oakland, CA
    Oakland, CA
    Oakland, CA
    Oakland, CA
    Oakland, CA
Other Businesses

RENTAL PROPERTY; INV RELATED; ANTIOCH, CA; 100% OWNERSHIP; START: 10/01/2008; HOURS: 1 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-28
S63 Uniform Securities Agent State Law Examination 1993-05-13
  • S65 Uniform Investment Adviser Law Examination
    1998-04-28
  • S63 Uniform Securities Agent State Law Examination
    1993-05-13
Other Names
  • Joseph C Frank

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
FM CAPITAL GROUP
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC
FINANCIAL AVENGERS, INC.

Other Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
Randall w Silvey

Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

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