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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
TX RA APPROVED_RES 2022-09-08
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2022-09-08
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States

1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • 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. Calabasas CA 02/2008 Present
Wells Fargo Advisors Llc Calabasas CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Calabasas CA 11/2016 Present
  • 02/2008 → Present
    Wells Fargo Bank, N.A.
    Calabasas, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Calabasas, CA
  • 11/2016 → Present
    Calabasas, CA
Previous Registrations
  • 2008-12-08 → 2011-01-03
    Wells Fargo Investments, Llc
    Calabasas, CA
Other Businesses

JOMANA, INC; NON-INV; CHATSWORTH, CA; 100% OWNERSHIP; START 8/1/2015; HOURS: 10 PER MONTH - 0 DURING TRADING; DUTIES: EXPORT/IMPORT OF CLOTHING. F&A HOLDING, LLC, INVT RELATED, ORCUTT, CA, 25% OWNERSHIP, START 12/1/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, PASSIVE INVESTOR. ORCUTT STRONG INC., NOT INV RELATED, OTCUTT, CA, 25% OWNERSHIP, START 12/31/2020, 1 HOUR PER MONTH, ZERO DURING TRADING, GROCERY STORE OWNER. RENTAL PROPERTY; INVESTMENT RELATED; CHATSWORTH,CA; 25% OWNERSHIP; START DATE 12/24/2020; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY -HIGHLAND ; INV RELATED; SANTA MARIA,CA; 100% OWNERSHIP; START DATE: 02/28/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-05
  • S66 Uniform Combined State Law Examination
    2008-12-05

View on SEC IAPD

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