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Nam Nhat Pho

Wells Fargo Clearing Services, LLC

New York, NY

New York, NY

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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
NJ RA APPROVED 2021-06-23
  • NJ RA
    APPROVED
    Since 2021-06-23

Branch Locations

169 7Th Ave, New York, NY 10011 • United States

767 5Th Ave 33Rd Fl [Y5-Rbo], New York, NY 10153 • 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 New York NY 11/2016 Present
Wells Fargo Clearing Services, Llc New York NY 12/2016 Present
Td Bank New York NY 11/2015 10/2016
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-15
S63 Uniform Securities Agent State Law Examination 2010-05-05
  • S66 Uniform Combined State Law Examination
    2021-01-15
  • S63 Uniform Securities Agent State Law Examination
    2010-05-05
Other Names
  • Nam N Pho

View on SEC IAPD

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