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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
TX RA APPROVED 2022-06-01
CA RA APPROVED 2021-12-23
  • TX RA
    APPROVED
    Since 2022-06-01
  • CA RA
    APPROVED
    Since 2021-12-23

Branch Locations

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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 Bank Irvine CA 07/2017 Present
Wells Fargo Clearing Services Irvine CA 10/2021 Present
Law & Stein, Llp Irvine CA 08/2011 07/2017
  • 07/2017 → Present
    Wells Fargo Bank
    Irvine, CA
  • 10/2021 → Present
    Wells Fargo Clearing Services
    Irvine, CA
  • 08/2011 → 07/2017
    Law & Stein, Llp
    Irvine, CA
Previous Registrations
  • 2007-10-30 → 2008-04-14
    Crown Capital Securities, L.P.
    Laguna Niguel, CA
  • 2006-09-12 → 2007-10-01
    Wamu Investments, Inc.
    Buena Park, CA
Other Businesses

LAW LICENSE, NOT INV RELATED, STATE OF CALIFORNIA, START 12/4/2012, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING. FAMILY TRUST; INV RELATED;LAS VEGAS,NV; START DATE: 02/27/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-23
  • S66 Uniform Combined State Law Examination
    2021-12-23
Other Names
  • Aaron T. Waites

View on SEC IAPD

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