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Derek John Chaffin

Wells Fargo Clearing Services, LLC

Westlake Village, CA

Santa Barbara, CA

Santa Barbara, CA

CRD 2714710

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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
CA RA APPROVED 2015-12-03
  • CA RA
    APPROVED
    Since 2015-12-03

Branch Locations

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • United States

3660 State St [Lh-Rbo], Santa Barbara, CA 93105 • United States

3660 State St, Santa Barbara, CA 93105 • 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 Westlake Village CA 11/2015 11/2016
Wells Fargo Clearing Services, Llc Westlake Village CA 11/2016 Present
Other Businesses

CO-TRUSTEE FOR MOTHER'S TRUST, INV RELATED, CAMARILLO, CA, START: 9/10/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-02-09
S63 Uniform Securities Agent State Law Examination 1996-02-26
  • S65 Uniform Investment Adviser Law Examination
    2016-02-09
  • S63 Uniform Securities Agent State Law Examination
    1996-02-26
Other Names
  • Derek John Chaffin
  • Derek John Chaffin

View on SEC IAPD

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