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Hui Do Kim

Wells Fargo Clearing Services, LLC

La Habra, CA

Brea, CA

Pasadena, CA

CRD 2707075

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2023-11-21
CA RA APPROVED 2008-05-09
  • TX RA
    APPROVED
    Since 2023-11-21
  • CA RA
    APPROVED
    Since 2008-05-09

Branch Locations

1190 S Beach Blvd, La Habra, CA 90631 • United States

201 W Imperial Hwy, Brea, CA 92821 • United States

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • 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 La Habra CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc La Habra CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-07
S63 Uniform Securities Agent State Law Examination 2000-12-15
  • S65 Uniform Investment Adviser Law Examination
    2001-02-07
  • S63 Uniform Securities Agent State Law Examination
    2000-12-15
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
J.P. MORGAN SECURITIES LLC

Nearby Investors

TOBIE SHAWN FLORES
Alvaro Valverde
CRAIG SCOTT FEIN

Nearby Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · La Habra, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LA HABRA, CA
WELLS FARGO CLEARING SERVICES, LLC · LA HABRA, CA

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