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Charles Nathaniel Goffin

Wells Fargo Clearing Services, LLC

Mission Viejo, CA

Mission Viejo, 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 2010-11-16
TX RA APPROVED 2010-11-11
  • CA RA
    APPROVED
    Since 2010-11-16
  • TX RA
    APPROVED
    Since 2010-11-11

Branch Locations

27201 Puerta Real Ste 220, Mission Viejo, CA 92691 • United States

Mission Viejo, CA • 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 Newport Beach CA 11/2010 11/2016
Wells Fargo Clearing Services, Llc Newport Beach CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2010-11-18
    Morgan Stanley
    Irvine, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Irvine, CA
  • 1998-08-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Irvine, CA
    Irvine, CA
Other Businesses

TRUSTEE FOR MOTHER; INV RELATED; MISSION VIEJO, CA; START: 5/9/18; 4 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-13
S63 Uniform Securities Agent State Law Examination 1995-06-28
  • S65 Uniform Investment Adviser Law Examination
    1995-07-13
  • S63 Uniform Securities Agent State Law Examination
    1995-06-28
Other Names
  • Charles Lee Goffin

View on SEC IAPD

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Other Offices

EDWARD JONES · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
WELLS FARGO CLEARING SERVICES, LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
CETERA INVESTMENT ADVISERS LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA

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