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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 2014-08-06
  • CA RA
    APPROVED
    Since 2014-08-06

Branch Locations

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • United States

770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • United States

Petaluma, CA • 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 Na Moraga CA 07/2014 Present
Wells Fargo Advisors Llc Moraga CA 07/2014 11/2016
Wells Fargo Clearing Services, Llc Moraga CA 11/2016 Present
  • 07/2014 → Present
    Wells Fargo Bank Na
    Moraga, CA
  • 07/2014 → 11/2016
    Wells Fargo Advisors Llc
    Moraga, CA
  • 11/2016 → Present
    Moraga, CA
Previous Registrations
  • 2011-01-03 → 2013-01-24
    San Jose, CA
  • 2008-01-11 → 2011-01-03
    Wells Fargo Investments, Llc
    Redwood City, CA
    San Jose, CA
    Redwood City, CA
  • 2006-03-20 → 2006-10-03
    Wells Fargo Investments, Llc
    Burlingame, CA
    Burlingame, CA
    San Carlos, CA
    San Francisco, CA
Other Businesses

M I M CORPORATION; INVESTMENT RELATED; STERLING HEIGHTS,MI; 30% OWNERSHIP; START 1/2/2020; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY; INV. RELATED; VICTOR,ID; 50% OWNERSHIP; START 10/7/2021; NUMBER OF HOURS PER MONTH 5; NUMBER OF HOURS DURING TRADING 0; OWNER. WYDAHO LODGE LLC, INV RELATED, PETALUMA, CA, 50% OWNERSHIP WITH SPOUSE, START 10/27/2021, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDS RENTAL PROPERTY. LEVANTINE MEDITERRANEAN CUISINE LLC; INV RELATED; PETALUMA, CA; 50% OWNERSHIP; START DATE 1/2/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING; CO-OWNER OF RESTAURANT. | LEVANTINO INC; INVESTMENT RELATED; VALLEJO, CA; 50% OWNERSHIP; 02/13/2025; 2 HOURS PER MONTH; NO HOURS DURING TRADING; INVESTING IN RESTAURANT

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-18
  • S66 Uniform Combined State Law Examination
    2006-03-18

View on SEC IAPD

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