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Alan Lui

Wells Fargo Clearing Services, LLC

San Mateo, CA

Palo Alto, 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 2016-06-22
  • TX RA
    APPROVED_RES
    Since 2016-06-22

Branch Locations

1810 Gateway Dr Ste 150, San Mateo, CA 94404 • United States

301 University Ave [Vd-Rbo], Palo Alto, CA 94301 • 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. Foster City CA 11/2007 Present
Wells Fargo Advisors Llc Burlingame CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Burlingame CA 11/2016 Present
  • 11/2007 → Present
    Wells Fargo Bank, N.A.
    Foster City, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Burlingame, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Burlingame, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-10-19
  • S63 Uniform Securities Agent State Law Examination
    2010-10-19

View on SEC IAPD

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Other Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA
EAGLE STRATEGIES LLC · SAN MATEO, CA
LPL FINANCIAL LLC · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
FISHER INVESTMENTS · SAN MATEO, CA
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