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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 2010-07-20
  • CA RA
    APPROVED
    Since 2010-07-20

Branch Locations

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

1920 Tice Valley Blvd, Walnut Creek, CA 94595 • 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 Bank, N.A. Walnut Creek CA 12/2007 Present
Wells Fargo Advisors Llc Walnut Creek CA 07/2010 11/2016
Wells Fargo Clearing Services, Llc Walnut Creek CA 11/2016 Present
  • 12/2007 → Present
    Wells Fargo Bank, N.A.
    Walnut Creek, CA
  • 07/2010 → 11/2016
    Wells Fargo Advisors Llc
    Walnut Creek, CA
  • 11/2016 → Present
    Walnut Creek, CA
Previous Registrations
  • 2008-11-28 → 2010-07-01
    Wells Fargo Investments, Llc
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-11-26
  • S66 Uniform Combined State Law Examination
    2008-11-26

View on SEC IAPD

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