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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 2024-03-08
TX RA APPROVED 2024-03-08
  • CA RA
    APPROVED
    Since 2024-03-08
  • TX RA
    APPROVED
    Since 2024-03-08

Branch Locations

4655 Executive Dr 10Th Fl [Vj-Rbo], San Diego, CA 92121 • 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
Jpmorgan Chase Bank San Diego CA 01/2010 03/2024
J.P. Morgan Securities Llc San Diego CA 10/2012 03/2024
Nana Hats, Llc. Walnut CA 10/2020 Present
Wells Fargo Clearing Services, Llc San Diego CA 03/2024 Present
Previous Registrations
  • 2012-10-01 → 2024-03-09
    San Diego, CA
    San Diego, CA
  • 2010-01-21 → 2012-10-01
    Chase Investment Services Corp.
    San Diego, CA
    San Diego, CA
Other Businesses

NANA HATS, LLC: INV RELATED; COVINA, CA; 90% OWNERSHIP; START 01/21/2020; 15 HOURS PER MONTH; 0 HOURS DURING TRADING; BUSINESS OWNERSHIP FOR BANANA COVERS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-16
  • S66 Uniform Combined State Law Examination
    2009-11-16
Other Names
  • Sean Michael Adler

View on SEC IAPD

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