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Daniel A Klein

Wells Fargo Clearing Services, LLC

Santa Barbara, CA

Santa Barbara, 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 2008-08-26
CA RA APPROVED 2008-08-05
  • TX RA
    APPROVED_RES
    Since 2008-08-26
  • CA RA
    APPROVED
    Since 2008-08-05

Branch Locations

3660 State St, Santa Barbara, CA 93105 • United States

Santa Barbara, CA • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Santa Barbara CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Santa Barbara CA 11/2016 Present
Previous Registrations
Other Businesses

THE BEATRICE PEARLSTEIN SUBTRUST; INV RELATED; SANTA BARBARA, CA; TRUSTEE; START DATE: 11/07/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1994-07-06
S65 Uniform Investment Adviser Law Examination 1994-07-06
  • S63 Uniform Securities Agent State Law Examination
    1994-07-06
  • S65 Uniform Investment Adviser Law Examination
    1994-07-06
Other Names
  • Daniel Aaron Klein

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
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