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Brian Lee Richmond

Wells Fargo Clearing Services, LLC

Seal Beach, 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 2025-08-08
TX RA APPROVED 2025-08-07
  • CA RA
    APPROVED
    Since 2025-08-08
  • TX RA
    APPROVED
    Since 2025-08-07

Branch Locations

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • 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
Rbc Capital Markets, Llc Long Beach CA 02/2013 08/2025
City National Bank Long Beach CA 10/2016 08/2025
Wells Fargo Clearing Services, Llc Seal Beach CA 08/2025 Present
Previous Registrations
  • 2013-02-04 → 2025-08-15
    Rbc Capital Markets, Llc
    Seal Beach, CA
    Long Beach, CA
  • 2011-07-07 → 2013-02-27
    Citigroup Global Markets Inc.
    Los Angeles, CA
    San Francisco, CA
    Fountain Valley, CA
    Los Angeles, CA
    San Pedro, CA
  • 2007-10-15 → 2011-07-08
    Deutsche Bank Securities Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2004-08-02 → 2007-10-17
    Banc Of America Investment Services, Inc.
    Los Angeles, CA
    Los Angeles, CA
  • 2002-03-14 → 2004-08-06
    Morgan Stanley Dw Inc.
    Laguna Beach, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-18
  • S66 Uniform Combined State Law Examination
    2002-01-18

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Seal Beach, CA
J.P. MORGAN SECURITIES LLC · SEAL BEACH, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SEAL BEACH, CA
UBS FINANCIAL SERVICES INC. · SEAL BEACH, CA
LPL FINANCIAL LLC · SEAL BEACH, CA
OSAIC WEALTH, INC. · SEAL BEACH, CA
AMIP MANAGEMENT · SEAL BEACH, CA
MY PORTFOLIO GUIDE, LLC · SEAL BEACH, CA

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