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Alan Roberto Mendoza

Wells Fargo Clearing Services, LLC

The Woodlands, TX

CRD 7473754

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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
TX RA APPROVED 2022-04-21
  • TX RA
    APPROVED
    Since 2022-04-21

Branch Locations

1800 Hughes Landing Blvd Ste 300, The Woodlands, TX 77380 • 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 Clearing Services, Llc The Woodlands TX 11/2021 Present
Wells Fargo Bank, Na The Woodlands TX 04/2018 Present
Speedy Cash Conroe TX 02/2015 04/2018
  • 11/2021 → Present
    The Woodlands, TX
  • 04/2018 → Present
    Wells Fargo Bank, Na
    The Woodlands, TX
  • 02/2015 → 04/2018
    Speedy Cash
    Conroe, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-21
  • S66 Uniform Combined State Law Examination
    2022-04-21
Other Names
  • Alan Mendoza
  • Alan R Mendoza
  • Alan Roberto Mendoza Alcocer

View on SEC IAPD

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