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Caryn Nichole Cocchia

Wells Fargo Clearing Services, LLC

Scottsdale, AZ

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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
AZ RA APPROVED 2025-07-09
TX RA APPROVED_RES 2025-07-02
  • AZ RA
    APPROVED
    Since 2025-07-09
  • TX RA
    APPROVED_RES
    Since 2025-07-02

Branch Locations

8601 N Scottsdale Rd Ste 150 [Tl-Rbo], Scottsdale, AZ 85253 • 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
Fidelity Investments Scottsdale AZ 10/2010 11/2019
Fidelity Personal And Workplace Advisors Boston MA 07/2018 11/2019
Charles Schwab & Co., Inc. Phoenix AZ 11/2019 06/2025
Charles Schwab Bank Phoenix AK 11/2019 06/2025
Wells Fargo Clearing Services, Llc Scottsdale AZ 06/2025 Present
  • 10/2010 → 11/2019
    Fidelity Investments
    Scottsdale, AZ
  • 07/2018 → 11/2019
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 11/2019 → 06/2025
    Charles Schwab & Co., Inc.
    Phoenix, AZ
  • 11/2019 → 06/2025
    Charles Schwab Bank
    Phoenix, AK
  • 06/2025 → Present
    Wells Fargo Clearing Services, Llc
    Scottsdale, AZ
Previous Registrations
  • 2019-12-11 → 2025-07-18
    Charles Schwab & Co., Inc.
    Phoenix, AZ
    Scottsdale, AZ
    Lone Tree, CO
  • 2018-07-13 → 2019-11-21
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2012-07-19 → 2018-07-13
    Strategic Advisers Llc
    Scottsdale, AZ
  • 2009-09-10 → 2010-10-19
    Wells Fargo Investments, Llc
    Glendale, AZ
Other Businesses

Start Date = 01-07-21| The Basin Beard Co| Owner| Phoenix, AZ| Hours/Month = Less than 20| Creator and Promoter of Homemade Beard Oils and Balms to supply to local businesses

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-13
  • S66 Uniform Combined State Law Examination
    2009-08-13
Other Names
  • Caryn Nicole Hugi
  • Caryn Nichole Nickens
  • Caryn Nichole Vaneynde
  • Caryn N Vaneynde

View on SEC IAPD

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