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Luis Gerardo Borquez

Wells Fargo Clearing Services, LLC

Bakersfield, CA

Fresno, 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 2024-05-08
CA RA APPROVED 2015-09-30
  • TX RA
    APPROVED
    Since 2024-05-08
  • CA RA
    APPROVED
    Since 2015-09-30

Branch Locations

3743 Columbus St, Bakersfield, CA 93306 • United States

6781 N Palm Ave Ste 201 [Nt/Nv-Rbo], Fresno, CA 93704 • 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 Bakersfield CA 09/2015 11/2016
Wells Fargo Clearing Services, Llc Bakersfield CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2015-10-07
    J.P. Morgan Securities Llc
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Delano, CA
    Bakersfield, CA
    Bakersfield, CA
  • 2008-02-21 → 2009-05-02
    Wamu Investments, Inc.
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield, CA
    Bakersfield , CA
    Bakersfield, CA
    Bakersfield, CA
Other Businesses

COMMERCIAL RENTAL PROPERTY, INV RELATED, TEHACHAPI, CA, 100% OWNERSHIP WITH SPOUSE, START 4/1/2017, ZERO HOURS PER MONTH, LANDLORD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-11
S63 Uniform Securities Agent State Law Examination 2005-03-21
  • S66 Uniform Combined State Law Examination
    2007-12-11
  • S63 Uniform Securities Agent State Law Examination
    2005-03-21
Other Names
  • Louis G Borquez

View on SEC IAPD

Other Firms

WOODWARD DIVERSIFIED CAPITAL, LLC
HOWARD FINANCIAL
SIERRA CAPITAL MANAGEMENT
WORLD INVESTMENT ADVISORS, LLC
PARK AVENUE SECURITIES LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Other Investors

BEAU THOMAS WOODWARD
GABRIEL THOMAS WOODWARD
Caleb James Richmond
THOMAS DORSEY WOODWARD
LANCE RAYMOND HOWARD
Stanley SCOTT GARRISON
THOMAS DEAN MING
Ryne Alyn Fessler

Other Offices

WOODWARD DIVERSIFIED CAPITAL, LLC · BAKERSFIELD, CA
HOWARD FINANCIAL · BAKERSFIELD, CA
SIERRA CAPITAL MANAGEMENT · BAKERSFIELD, CA
WORLD INVESTMENT ADVISORS, LLC · BAKERSFIELD, CA
WORLD INVESTMENT ADVISORS, LLC · Bakersfield, CA
PARK AVENUE SECURITIES LLC · BAKERSFIELD, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Bakersfield, CA
WELLS FARGO CLEARING SERVICES, LLC · BAKERSFIELD, CA

More in Bakersfield, CA

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