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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 2019-10-30
CA RA APPROVED 2016-10-24
  • TX RA
    APPROVED_RES
    Since 2019-10-30
  • CA RA
    APPROVED
    Since 2016-10-24

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

Westlake Village, 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, N.A. Northridge CA 10/2005 Present
Wells Fargo Advisors, Llc Northridge CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Northridge CA 11/2016 Present
  • 10/2005 → Present
    Wells Fargo Bank, N.A.
    Northridge, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors, Llc
    Northridge, CA
  • 11/2016 → Present
    Northridge, CA
Other Businesses

TIERRA DEL SOL, INVT RELATED, SUNLAND, CA, FINANCE COMMITTEE, START 3/1/2016, 2 HRS PER MONTH, 1 HR DURING TRADING, ATTENDING MEETINGS, REVIEWING MANAGEMENTS COMPENSATION, OVERSEEING BUDGET AND ASSISTING WITH FUNDRAISERS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-24
S63 Uniform Securities Agent State Law Examination 2010-03-17
  • S66 Uniform Combined State Law Examination
    2016-10-24
  • S63 Uniform Securities Agent State Law Examination
    2010-03-17

View on SEC IAPD

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