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Daniel Plascencia

Wells Fargo Clearing Services, LLC

San Jose, CA

San Jose, 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
CA RA APPROVED 2026-01-07
  • CA RA
    APPROVED
    Since 2026-01-07

Branch Locations

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

360 N Capitol Ave, San Jose, CA 95133 • 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
Charles Schwab & Co., Inc Los Gatos CA 09/2022 08/2024
Allied Universal San Jose CA 05/2016 03/2022
World Financial Group San Jose CA 08/2015 08/2019
Securitas San Jose CA 10/2020 09/2022
Charles Schwab Bank Ssb Los Gatos CA 09/2022 08/2024
Excite Credit Union San Jose CA 09/2024 01/2026
Lpl Financial Llc San Jose CA 09/2024 01/2026
Wells Fargo Clearing Services, Llc San Jose CA 01/2026 Present
  • 09/2022 → 08/2024
    Charles Schwab & Co., Inc
    Los Gatos, CA
  • 05/2016 → 03/2022
    Allied Universal
    San Jose, CA
  • 08/2015 → 08/2019
    World Financial Group
    San Jose, CA
  • 10/2020 → 09/2022
    Securitas
    San Jose, CA
  • 09/2022 → 08/2024
    Charles Schwab Bank Ssb
    Los Gatos, CA
  • 09/2024 → 01/2026
    Excite Credit Union
    San Jose, CA
  • 09/2024 → 01/2026
    Lpl Financial Llc
    San Jose, CA
  • 01/2026 → Present
    Wells Fargo Clearing Services, Llc
    San Jose, CA
Previous Registrations
  • 2024-10-07 → 2026-01-08
    Lpl Financial Llc
    San Jose, CA
    Wilmington, NC
    San Jose, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2024-10-19
S65 Uniform Investment Adviser Law Examination 2024-10-05
  • S63 Uniform Securities Agent State Law Examination
    2024-10-19
  • S65 Uniform Investment Adviser Law Examination
    2024-10-05
Other Names
  • Daniel Estevan Plascencia

View on SEC IAPD

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TIGER & BULLDOG MANAGEMENT, LLC
HICKOK ADVISORY, LLC
KAIZEN FINANCIAL STRATEGIES, LLC

Other Investors

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Adrian Baker
Bianca N. Cross
Jonathan A Stoft
BAO DINH
Luke Maura
BEN Wolff KRUGMAN
DANIEL ROY OWENS

Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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