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Peter Tran

Wells Fargo Clearing Services, LLC

Pasadena, CA

La Canada, CA

Los Angeles, CA

Pasadena, 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 2021-09-29
  • CA RA
    APPROVED
    Since 2021-09-29

Branch Locations

350 W Colorado Blvd Ste 390 [Ll-Rbo], Pasadena, CA 91105 • United States

555 Foothill Blvd, La Canada, CA 91011 • United States

7315 N Figueroa St Ste 108, Los Angeles, CA 90041 • United States

350 W Colorado Blvd 1St Fl, Pasadena, CA 91105 • 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 Securities Llc South Pasadena CA 03/2013 09/2021
Jp Morgan Chase Bank South Pasadena CA 06/2012 09/2021
Wells Fargo Clearing Services, Llc Pasadena CA 09/2021 Present
Previous Registrations
  • 2015-09-28 → 2021-09-30
    J.P. Morgan Securities Llc
    South Pasadena, CA
    Pasadena, CA
    Temple City, CA
    Alhambra, CA
    Alhambra, CA
    Monterey Park, CA
Other Businesses

RENTAL PROPERTY, INVT RELATED, LA PUENTE, CA, 100% OWNERSHIP, START DATE 6/1/2012, 1 HR PER MONTH, 0 HRS DURING TRADING, LANDLORD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-21
S63 Uniform Securities Agent State Law Examination 2013-07-03
  • S66 Uniform Combined State Law Examination
    2015-09-21
  • S63 Uniform Securities Agent State Law Examination
    2013-07-03
Designations

View on SEC IAPD

Other Firms

CMR CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.
MML INVESTORS SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
NASDAQ DORSEY WRIGHT
U.S. BANCORP ADVISORS, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

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