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Brian Alan Fu

Wells Fargo Clearing Services, LLC

Honolulu, HI

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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
HI RA APPROVED 2003-07-01
  • HI RA
    APPROVED
    Since 2003-07-01

Branch Locations

1001 Bishop St Ste 1900, Honolulu, HI 96813 • 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
Connecticut Mutual Life Ins.COmpany Honolulu HI 03/1980 Present
Wells Fargo Advisors Llc Honolulu HI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Honolulu HI 11/2016 Present
  • 03/1980 → Present
    Connecticut Mutual Life Ins.COmpany
    Honolulu, HI
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Honolulu, HI
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Honolulu, HI
Previous Registrations
  • 1998-11-12 → 2003-07-01
    Prudential Equity Group, Llc
    Honolulu, HI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-11-06
S63 Uniform Securities Agent State Law Examination 1982-11-06
  • S65 Uniform Investment Adviser Law Examination
    1993-11-06
  • S63 Uniform Securities Agent State Law Examination
    1982-11-06
Other Names
  • Brian Alan Fu
  • Brian Allen Fu

View on SEC IAPD

Other Firms

REGENCY CAPITAL MANAGEMENT INC.
WEALTH ALIGNMENT PARTNERS, LLC
DIVERSIFY ADVISORY SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
MML INVESTORS SERVICES, LLC
COMMONWEALTH FINANCIAL NETWORK
KINGSWOOD WEALTH ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

Kawika Shoji
GEORGE CHRISTIAN FLOAN HART
IAN YUEN YEE WONG
KELII JK KIAKONA
ERIC-ALLEN TSUTOMU CHING
JENNIFER LEE KUANONI
TYLER YOSHIO TAKAHATA
CHASE SANTOS

Other Offices

REGENCY CAPITAL MANAGEMENT INC. · HONOLULU, HI
WEALTH ALIGNMENT PARTNERS, LLC · HONOLULU, HI
DIVERSIFY ADVISORY SERVICES, LLC · Honolulu, HI
DIVERSIFY ADVISORY SERVICES, LLC · HONOLULU, HI
CETERA INVESTMENT ADVISERS LLC · HONOLULU, HI
MML INVESTORS SERVICES, LLC · HONOLULU, HI
COMMONWEALTH FINANCIAL NETWORK · Honolulu, HI
KINGSWOOD WEALTH ADVISORS, LLC · Hololulu, HI

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