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Efrain Vera

Wells Fargo Clearing Services, LLC

Santa Barbara, CA

San Luis Obispo, CA

Buellton, 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
TX RA APPROVED_RES 2026-04-08
CA RA APPROVED 2019-09-26
  • TX RA
    APPROVED_RES
    Since 2026-04-08
  • CA RA
    APPROVED
    Since 2019-09-26

Branch Locations

1036 Anacapa St, Santa Barbara, CA 93101 • United States

1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • United States

222 E Hwy 246, Buellton, CA 93427 • 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 Santa Barbara CA 11/2012 Present
Wells Fargo Advisors Llc Santa Barbara CA 01/2014 11/2016
Wells Fargo Clearing Services, Llc Santa Barbara CA 11/2016 Present
  • 11/2012 → Present
    Wells Fargo Bank Na
    Santa Barbara, CA
  • 01/2014 → 11/2016
    Wells Fargo Advisors Llc
    Santa Barbara, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Santa Barbara, CA
Other Businesses

RENTAL PROPERTY, INVT RELATED, VENTURA, CA, 100% OWNERSHIP WITH SPOUSE, START DATE 7/1/2022, 2 HRS PER MONTH, 0 HRS DURING TRADING, LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-26
S63 Uniform Securities Agent State Law Examination 2014-03-11
  • S65 Uniform Investment Adviser Law Examination
    2019-09-26
  • S63 Uniform Securities Agent State Law Examination
    2014-03-11

View on SEC IAPD

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KINGSWOOD WEALTH ADVISORS, LLC
MORGAN STANLEY
LPL FINANCIAL LLC
PLANMEMBER SECURITIES CORPORATION

Other Investors

DARIN CARLTON MAST
Eric Scott Wasmuth
CLAYTON ROBERT GIBSON
John Spruill
MONICA T WILLIAMS
Josh N Macaluso
Richard J Marcellin
Timothy Emmanuel Jou

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
CERITY PARTNERS LLC · SANTA BARBARA, CA
J.P. MORGAN SECURITIES LLC · SANTA BARBARA, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Santa Barbara, CA
KINGSWOOD WEALTH ADVISORS, LLC · Santa Barbara, CA
MORGAN STANLEY · Santa Barbara, CA
LPL FINANCIAL LLC · SANTA BARBARA, CA

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