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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 2021-07-09
CA RA APPROVED 2008-02-15
  • TX RA
    APPROVED_RES
    Since 2021-07-09
  • CA RA
    APPROVED
    Since 2008-02-15

Branch Locations

433 N Camden Dr 9Th & 12Th Fls [La-Rbo], Beverly Hills, CA 90210 • United States

3020 Old Ranch Pkwy Stes 190, 150 & 140, Seal Beach, CA 90740 • United States

Fountain Valley, 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 Los Angeles CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 Present
Previous Registrations
  • 2007-05-29 → 2008-03-03
    Los Angeles, CA
    West Hollywood, CA
  • 2005-11-22 → 2007-05-29
    Citicorp Investment Services
    Los Angeles, CA
    West Hollywood, CA
    Long Island City, NY
  • 2005-11-14 → 2005-11-23
    Wells Fargo Investments, Llc
    Beverly Hills, CA
  • 2002-08-29 → 2005-11-18
    Citicorp Investment Services
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-23
S63 Uniform Securities Agent State Law Examination 1994-11-23
  • S65 Uniform Investment Adviser Law Examination
    1994-12-23
  • S63 Uniform Securities Agent State Law Examination
    1994-11-23
Other Names
  • Chris Max Nornberg

View on SEC IAPD

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