Karen Elizabeth Peck

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-07-22

CA RA
APPROVED

Since 2022-07-22

Branch Locations

1730 Saratoga Ave, San Jose, CA 95129 • United States

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • 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

Organization	City	State	From	To
Wells Fargo Bank Na	San Jose	CA	03/2012	Present
Wells Fargo Advisors Llc	San Jose	CA	05/2014	11/2016
Wells Fargo Clearing Services, Llc	San Jose	CA	11/2016	Present

03/2012 → Present

Wells Fargo Bank Na

San Jose, CA
05/2014 → 11/2016

Wells Fargo Advisors Llc

San Jose, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

San Jose, CA

Other Businesses

COMMERCIAL RENTAL PROPERTY, INV RELATED, RANCHO CORDOVA, CA, 100% OWNERSHIP BY TRUST, START 3/25/2001, 15 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-07-22
S63	Uniform Securities Agent State Law Examination	2014-08-12

S65 Uniform Investment Adviser Law Examination

2022-07-22
S63 Uniform Securities Agent State Law Examination

2014-08-12

Other Names

Karen Elizabeth Dowling

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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