Hui Do Kim

Wells Fargo Clearing Services, LLC

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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

Authority	Category	Status	Date
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

Organization	City	State	From	To
Wells Fargo Advisors Llc	La Habra	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	La Habra	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

La Habra, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

La Habra, CA

Previous Registrations

2007-05-29 → 2008-06-02

Citigroup Global Markets Inc.

Monrovia, CA

Whittier, CA
2003-10-16 → 2007-05-29

Citicorp Investment Services

Whittier, CA

Whittier, CA
2001-05-29 → 2003-10-24

Citigroup Global Markets Inc.

Palo Alto, CA

Exams

Code	Exam	Date
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

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

U.S. BANCORP ADVISORS, LLC

LPL FINANCIAL LLC

SACKETT WEALTH ADVISORS, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

TOBIE SHAWN FLORES

Alvaro Valverde

CRAIG SCOTT FEIN

JUN MIN PETER KOH

Mark Anthony Migrino

Other 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

J.P. MORGAN SECURITIES LLC · LA HABRA, CA

U.S. BANCORP ADVISORS, LLC · La Habra, CA

STATE FARM INVESTMENT MANAGEMENT CORP. · Fullerton, CA

LPL FINANCIAL LLC · FULLERTON, CA

LPL FINANCIAL LLC · LA HABRA, CA

More in La Habra, CA

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