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Thomas Kosei Yamasaki

Wells Fargo Clearing Services, LLC

Davis, CA

Sacramento, 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
CA RA APPROVED 2020-12-08
  • CA RA
    APPROVED
    Since 2020-12-08

Branch Locations

340 F St, Davis, CA 95616 • United States

400 Capitol Mall Ste 1700 [Nm-Rbo], Sacramento, CA 95814 • 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 Advisors Llc San Leandro CA 10/2010 11/2016
Wells Fargo Bank, N.A. San Leandro CA 03/1991 Present
Wells Fargo Clearing Services, Llc San Leandro CA 11/2016 Present
  • 10/2010 → 11/2016
    Wells Fargo Advisors Llc
    San Leandro, CA
  • 03/1991 → Present
    Wells Fargo Bank, N.A.
    San Leandro, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    San Leandro, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-08
S63 Uniform Securities Agent State Law Examination 2010-12-09
  • S65 Uniform Investment Adviser Law Examination
    2020-12-08
  • S63 Uniform Securities Agent State Law Examination
    2010-12-09
Other Names
  • Thomas K Yamasaki
  • Tom Yamasaki

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
U.S. BANCORP ADVISORS, LLC
EDWARD JONES

Other Investors

EUGENE KWOK HUNG HSU
GARY LEON COHEN
JOCZAN CHAVEZ
STEVEN J FRITH
FADILA HAMIDAT
DANIEL ROBERT CURRYWOOD
DAVID M MEAGHER
Chetan Patel

Other Offices

ARCHER POINTE WEALTH MANAGEMENT, LLC · DAVIS, CA
LPL FINANCIAL LLC · DAVIS, CA
CHARLES SCHWAB & CO., INC. · Davis, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · DAVIS, CA
FLYWAY ADVISORS · DAVIS, CA
J.P. MORGAN SECURITIES LLC · DAVIS, CA
U.S. BANCORP ADVISORS, LLC · Davis, CA
EDWARD JONES · DAVIS, CA

More in Davis, CA

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