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Connie J Shen

Wells Fargo Clearing Services, LLC

Austin, TX

Austin, TX

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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 2025-05-30
  • TX RA
    APPROVED
    Since 2025-05-30

Branch Locations

5900 W Slaughter Ln Bldg E, Austin, TX 78749 • United States

111 Congress Ave. 3Rd Fl, Ste 300 [Tt-Rbo], Austin, TX 78701 • 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
Jp Morgan Chase Denver CO 05/2016 02/2022
Charles Schwab & Co., Inc. Austin TX 03/2022 04/2025
Wells Fargo Clearing Services, Llc Austin TX 04/2025 Present
Previous Registrations
  • 2022-05-03 → 2025-04-28
    Charles Schwab & Co., Inc.
    Austin, TX
    Lone Tree, CO
    Austin, TX
    Austin, TX
    Austin, TX
  • 2016-07-19 → 2022-02-19
    J.P. Morgan Securities Llc
    Denver, CO
    Denver, CO
    Denver, CO
    Denver, CO
    Denver, CO
    Denver, CO
    Greenwood Village, CO
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-17
S63 Uniform Securities Agent State Law Examination 2011-01-29
  • S66 Uniform Combined State Law Examination
    2016-02-17
  • S63 Uniform Securities Agent State Law Examination
    2011-01-29
Other Names
  • Connie Shen
  • Connie Jia Shen

View on SEC IAPD

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Other Offices

AUSTIN MONEY MANAGEMENT CORPORATION · AUSTIN, TX
EVERLONG FINANCIAL · AUSTIN, TX
EDWARD JONES · Austin, TX
HARRELL INVESTMENT PARTNERS, LLC · AUSTIN, TX
WEATHERGAGE CAPITAL, LLC · AUSTIN, TX
LBJ FAMILY WEALTH ADVISORS, LTD. · AUSTIN, TX
JAMES S. MARROQUIN, CFP · AUSTIN, TX
OSAIC WEALTH, INC. · AUSTIN, TX

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