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Dave Dela Cruz Agustin

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
CA RA APPROVED 2021-04-09
TX RA APPROVED_RES 2020-02-20
  • CA RA
    APPROVED
    Since 2021-04-09
  • TX RA
    APPROVED_RES
    Since 2020-02-20

Branch Locations

112 De Anza Blvd Ste A, San Mateo, CA 94402 • United States

301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-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 Na San Mateo CA 08/2010 Present
Wells Fargo Advisors Llc San Francisco CA 07/2013 11/2016
Wells Fargo Clearing Services, Llc San Mateo CA 11/2016 Present
  • 08/2010 → Present
    Wells Fargo Bank Na
    San Mateo, CA
  • 07/2013 → 11/2016
    Wells Fargo Advisors Llc
    San Francisco, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    San Mateo, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-08
S63 Uniform Securities Agent State Law Examination 2013-09-12
  • S65 Uniform Investment Adviser Law Examination
    2021-04-08
  • S63 Uniform Securities Agent State Law Examination
    2013-09-12
Other Names
  • Dave Agustin

View on SEC IAPD

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Other Investors

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DEAN ALAN BECKER
SCOTT BARTLETT MCCLOSKEY
ABIY FISSEHA
CHRISTIAN MICHAEL BRETZ
CHRISTOPHER JAMES CALL
CLAY DEAN WILLIAM STAFFORD
Jacob Daly

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
FISHER INVESTMENTS · SAN MATEO, CA

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