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Scott James

Wells Fargo Clearing Services, LLC

San Francisco, CA

San Francisco, 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 2012-04-10
  • CA RA
    APPROVED
    Since 2012-04-10

Branch Locations

420 Montgomery St 7Th Fl [Nf*/Ng-Rbo], San Francisco, CA 94104 • United States

555 California St 24Th Fl, San Francisco, CA 94104 • 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
We4Lls Fargo Advisors Sacramento CA 04/2012 11/2016
Wells Fargo Clearing Services, Llc Sacramento CA 11/2016 Present
Previous Registrations
  • 2011-01-03 → 2011-11-07
    Wells Fargo Clearing Services, Llc
    Los Angeles, CA
    Los Angeles, CA
  • 2003-07-01 → 2011-01-03
    Wells Fargo Investments, Llc
    San Jose, CA
    Los Angeles, CA
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-09-10
S63 Uniform Securities Agent State Law Examination 1996-07-22
  • S65 Uniform Investment Adviser Law Examination
    1996-09-10
  • S63 Uniform Securities Agent State Law Examination
    1996-07-22
Other Names
  • Alan Scott Umberson
  • Alan Scott Umberson

View on SEC IAPD

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Other Offices

FORT POINT CAPITAL PARTNERS LLC · SAN FRANCISCO, CA
DIVISAR CAPITAL MANAGEMENT, LLC · SAN FRANCISCO, CA
CHARLES SCHWAB & CO., INC. · San Francisco, CA
1SHARPE CAPITAL LLC · SAN FRANCISCO, CA
RBC SECURITIES, INC · SAN FRANCISCO, CA
STRATEGIC ADVISERS LLC · SAN FRANCISCO, CA
VALEAS CAPITAL PARTNERS · SAN FRANCISCO, CA
ZENTARA EXCHANGE LTD · SAN FRANCISCO, CA

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