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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 2025-07-30
CA RA APPROVED 2021-03-10
  • TX RA
    APPROVED_RES
    Since 2025-07-30
  • CA RA
    APPROVED
    Since 2021-03-10

Branch Locations

1900 W 11Th St, Tracy, CA 95376 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • 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. Media PA 02/2014 11/2016
Wells Fargo Bank, Na San Jose CA 02/2013 Present
Wells Fargo Clearing Services, Llc San Jose CA 11/2016 Present
  • 02/2014 → 11/2016
    Wells Fargo Advisors, Llc.
    Media, PA
  • 02/2013 → Present
    Wells Fargo Bank, Na
    San Jose, CA
  • 11/2016 → Present
    San Jose, CA
Other Businesses

CHARKHA COURTURE, NOT INV RELATED, UPPER DARBY, PA, 100% OWNERSHIP, START 8/31/2018, 8 HOURS PER MONTH, ZERO DURING TRADING, ONLINE CLOTHING SALES.; RENTAL PROPERTY, INV RELATED, PHILADELPHIA, PA, 100% OWNERSHIP WITH SPOUSE, START: 3/1/2022, 0 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-10
S63 Uniform Securities Agent State Law Examination 2014-05-22
  • S65 Uniform Investment Adviser Law Examination
    2021-03-10
  • S63 Uniform Securities Agent State Law Examination
    2014-05-22

View on SEC IAPD

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