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Richard Vega

Wells Fargo Clearing Services, LLC

Miami Lakes, FL

Coral Gables, FL

Sunny Isles Beach, FL

CRD 5866459

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2023-07-25
FL RA APPROVED 2018-11-06
  • TX RA
    APPROVED_RES
    Since 2023-07-25
  • FL RA
    APPROVED
    Since 2018-11-06

Branch Locations

15615 Nw 67Th Ave, Miami Lakes, FL 33014 • United States

396 Alhambra Cir 8Th Fl [D2-Rbo], Coral Gables, FL 33134 • United States

17780 Collins Ave, Sunny Isles Beach, FL 33160 • 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 Miami FL 07/2013 10/2018
Wells Fargo Clearing Services, Llc Fort Lauderdale FL 10/2018 Present
Previous Registrations
  • 2013-07-16 → 2018-11-09
    J.P. Morgan Securities Llc
    Miami, FL
    Miami, FL
    Miami Gardens, FL
    Hialeah, FL
    Miami, FL
    Miami Lakes, FL
    Miami, FL
    Hialeah, FL
    Hialeah, FL
    Miami, FL
    North Miami, FL
    Miami, FL
    Miami Springs, FL
    Miami, FL
    Miami Lakes, FL
    Miami, FL
    Miami, FL
    Miami, FL
    Miami, FL
    Miami, FL
    Doral, FL
  • 2015-01-20 → 2015-01-27
    Msi Financial Services, Inc.
    Plantation, FL
  • 2011-04-28 → 2013-07-24
    Pruco Securities, Llc.
    Coral Gables, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-07-17
S65 Uniform Investment Adviser Law Examination 2011-04-18
  • S63 Uniform Securities Agent State Law Examination
    2013-07-17
  • S65 Uniform Investment Adviser Law Examination
    2011-04-18
Other Names
  • Richard Sal Vega

View on SEC IAPD

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FLORIDA FINANCIAL ADVISORS, LLC · Miami Lakes, FL
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