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David Ken Kakuda

Wells Fargo Clearing Services, LLC

El Segundo, CA

Torrance, 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 2017-03-30
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2017-03-30
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

2141 Rosecrans Ave Ste 4100 [Lg/Lb-Rbo], El Segundo, CA 90245 • United States

24439 Crenshaw Blvd, Torrance, CA 90505 • 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 Gardena CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Gardena CA 11/2016 Present
Previous Registrations
  • 2009-12-11 → 2011-01-03
    Wells Fargo Investments, Llc
    Hawthorne, CA
    Gardena, CA
    Torrance, CA
  • 2007-05-29 → 2009-12-19
    Citigroup Global Markets Inc.
    Claremont, CA
    Monrovia, CA
    Pasadena, CA
    Glendora, CA
    Monrovia, CA
    Covina, CA
  • 2003-12-12 → 2007-05-29
    Citicorp Investment Services
    Arcadia, CA
    Covina, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-11
S63 Uniform Securities Agent State Law Examination 1995-03-15
  • S66 Uniform Combined State Law Examination
    2003-12-11
  • S63 Uniform Securities Agent State Law Examination
    1995-03-15

View on SEC IAPD

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Other Offices

MORGAN STANLEY · El Segundo, CA
WELLS FARGO CLEARING SERVICES, LLC · EL SEGUNDO, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · EL SEGUNDO, CA
SOLACE CAPITAL PARTNERS, L.P. · EL SEGUNDO, CA
STRANDVIEW CAPITAL, LLC · EL SEGUNDO, CA
UBS FINANCIAL SERVICES INC. · El Segundo, CA
UBS FINANCIAL SERVICES INC. · El Segunda, CA
LPL FINANCIAL LLC · EL SEGUNDO, CA

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