Joseph John Ulloa

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	2008-10-06

CA RA
APPROVED

Since 2008-10-06

Branch Locations

888 Prospect St Stes 301 & 320, La Jolla, CA 92037 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	La Jolla	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	La Jolla	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

La Jolla, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

La Jolla, CA

Previous Registrations

2007-04-02 → 2008-10-08

Morgan Stanley & Co. Llc

San Diego, CA
2004-04-02 → 2007-04-02

Morgan Stanley Dw Inc.

San Diego, CA
2003-05-13 → 2004-04-07

Wells Fargo Clearing Services, Llc

San Diego, CA

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-09-05
S65	Uniform Investment Adviser Law Examination	1992-07-01

S63 Uniform Securities Agent State Law Examination

1996-09-05
S65 Uniform Investment Adviser Law Examination

1992-07-01

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews