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Erick Humberto Ortez

Wells Fargo Clearing Services, LLC

Palo Alto, CA

Cupertino, 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 2019-11-18
CA RA APPROVED 2018-04-03
  • TX RA
    APPROVED
    Since 2019-11-18
  • CA RA
    APPROVED
    Since 2018-04-03

Branch Locations

301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • United States

23000 Homestead Rd, Cupertino, CA 95014 • 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
J.P. Morgan Securities Llc San Jose CA 10/2012 03/2018
Wells Fargo Clearing Services, Llc San Jose CA 03/2018 12/2022
Wells Fargo Clearing Services, Llc Cupertino CA 12/2022 Present
Previous Registrations
  • 2012-10-01 → 2018-04-12
    J.P. Morgan Securities Llc
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    Milpitas, CA
  • 2011-11-03 → 2012-10-01
    Chase Investment Services Corp.
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
Other Businesses

RENTAL PROPERTY - 160; INV RELATED;SAN JOSE,CA; RENTAL;100% OWNERSHIP; START DATE: 08/01/2026; 4 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-21
S63 Uniform Securities Agent State Law Examination 2010-06-11
  • S66 Uniform Combined State Law Examination
    2011-10-21
  • S63 Uniform Securities Agent State Law Examination
    2010-06-11
Other Names
  • Erick H Ortez

View on SEC IAPD

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