Best Investors Account Sign in

Dave Dela Cruz Agustin

Wells Fargo Clearing Services, LLC

San Mateo, CA

Palo Alto, CA

CRD 6228182

Claim This Profile
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
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

Nearby Firms

NEWFRONT RETIREMENT SERVICES, INC.
ESO MANAGEMENT SERVICES LLC
FARMERS ASSET MANAGEMENT, LLC

Nearby Investors

MARCOS D PASTRANA
DEAN ALAN BECKER
SCOTT BARTLETT MCCLOSKEY

Nearby Offices

NEWFRONT RETIREMENT SERVICES, INC. · SAN MATEO, CA
ESO MANAGEMENT SERVICES LLC · SAN MATEO, CA
FARMERS ASSET MANAGEMENT, LLC · San Mateo, CA

More in San Mateo, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor