Joanie T Liu

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_RES	2016-09-21
CA	RA	APPROVED	2016-08-01

TX RA
APPROVED_RES

Since 2016-09-21
CA RA
APPROVED

Since 2016-08-01

Branch Locations

100 N Citrus St, West Covina, CA 91791 • United States

17799 E Colima Rd, City Of Industry, CA 91748 • United States

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

2322 S Azusa Ave, West Covina, CA 91792 • United States

121 S Hacienda Blvd, City Of Industry, CA 91745 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
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	Pasadena	CA	08/2003	11/2016
Wells Fargo Clearing Services, Llc	Pasadena	CA	11/2016	Present

08/2003 → 11/2016

Wells Fargo Advisors, Llc

Pasadena, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Pasadena, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-07-29

S66 Uniform Combined State Law Examination

2016-07-29

Other Names

Joanie Tsung Liu Chan
Joanie T Liu
Joanie Tsung Liu

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews