Best Investors Account Sign in

James Richard Defilippi

Wells Fargo Clearing Services, LLC

Lodi, CA

Sacramento, CA

CRD 6240968

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 2020-12-02
  • CA RA
    APPROVED
    Since 2020-12-02

Branch Locations

701 S Ham Ln, Lodi, CA 95242 • 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 Stockton CA 05/2015 11/2016
Wells Fargo Bank, Na Lodi CA 10/2013 Present
Wells Fargo Clearing Services, Llc Lodi CA 11/2016 Present
  • 05/2015 → 11/2016
    Wells Fargo Advisors, Llc
    Stockton, CA
  • 10/2013 → Present
    Wells Fargo Bank, Na
    Lodi, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Lodi, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-12-02
S63 Uniform Securities Agent State Law Examination 2015-06-17
  • S66 Uniform Combined State Law Examination
    2020-12-02
  • S63 Uniform Securities Agent State Law Examination
    2015-06-17

View on SEC IAPD

Nearby Firms

VALLEY WEALTH STRATEGIES, LLC
CETERA INVESTMENT ADVISERS LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Nearby Investors

OSCAR MARTINEZ
DAVID ADAM SASSON
Grant DeAndreis

Nearby Offices

VALLEY WEALTH STRATEGIES, LLC · LODI, CA
CETERA INVESTMENT ADVISERS LLC · LODI, CA
VALLEY WEALTH STRATEGIES, LLC · Lodi, CA

More in Lodi, CA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor