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Christopher Edward Hofmann

Wells Fargo Clearing Services, LLC

Encino, CA

Westlake Village, CA

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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 2019-03-15
CA RA APPROVED 2014-05-05
  • TX RA
    APPROVED_RES
    Since 2019-03-15
  • CA RA
    APPROVED
    Since 2014-05-05

Branch Locations

15760 Ventura Blvd Ste 1250 [Sk-Rbo], Encino, CA 91436 • United States

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • 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 Advisors, Llc Westlake Village CA 05/2014 11/2016
Wells Fargo Clearing Services, Llc Westlake Village CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2014-05-09
    J.P. Morgan Securities Llc
    Calabasas, CA
    Agoura Hills, CA
  • 2011-12-15 → 2012-10-01
    Chase Investment Services Corp.
    Calabasas, CA
    Agoura Hills, CA
  • 2010-03-11 → 2011-11-30
    Edward Jones
    Westminster, CO
    Denver, CO
    St Louis, MO
    Broomfield, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-08
  • S66 Uniform Combined State Law Examination
    2010-03-08

View on SEC IAPD

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