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Anne Quaintance Fomon

Wells Fargo Clearing Services, LLC

La Jolla, 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 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

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 La Jolla CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc La Jolla CA 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2008-10-09
    Morgan Stanley & Co. Llc
    La Jolla, CA
  • 2002-04-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lajolla, CA
Other Businesses

TRUSTEE FOR MOTHER; INV RELATED; LA JOLLA, CA; START: 1/26/17; 1 HR/MO; 1 HR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-17
S63 Uniform Securities Agent State Law Examination 1981-12-17
  • S65 Uniform Investment Adviser Law Examination
    1992-07-17
  • S63 Uniform Securities Agent State Law Examination
    1981-12-17
Other Names
  • Anne Quaintance Armstrong
  • Anne F Armstrong
  • Anne Fomon Armstrong
  • Anne Quaintance Fomon
  • Anne Quaintance Ulloa
  • Anne Quaintance Fomon Ulloa
  • Anne Q Fomon Armstrong
  • Anne Q Fomon

View on SEC IAPD

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Other Offices

ALPHACORE CAPITAL LLC · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · La Jolla, CA
WEDBUSH SECURITIES INC. · LA JOLLA, CA
UBS FINANCIAL SERVICES INC. · LA JOLLA, CA
HAMILTON MANOR & ASSOCIATES · LA JOLLA, CA
TORREYANA CAPITAL · LA JOLLA, CA
INTEGRATED WEALTH CONCEPTS LLC · LA JOLLA, CA

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