Kenneth Hingwah Chan

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
TX	RA	APPROVED	2014-08-20
CA	RA	APPROVED	2003-07-01

TX RA
APPROVED

Since 2014-08-20
CA RA
APPROVED

Since 2003-07-01

Branch Locations

Napa, CA • United States

1880 Tice Valley Blvd, Walnut Creek, CA 94595 • 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

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

05/2009 → 11/2016

Wells Fargo Advisors Llc

Walnut Creek, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Walnut Creek, CA

Previous Registrations

1997-07-08 → 2003-07-01

Prudential Equity Group, Llc

Walnut Creek, CA

Other Businesses

KENNETH CHAN ROTH IRA LLC, INV RELATED, LAFAYETTE, CA, 100% OWNERSHIP, START 8/26/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, CREATED FOR THE PURPOSE OF TAX REPORTING ON PRIVATE INVESTMENT PURCHASES VIA ACCOUNT AND ANNUAL VALUATION REPORT TO CUSTODIAN.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-07
S63	Uniform Securities Agent State Law Examination	1983-09-23

S65 Uniform Investment Adviser Law Examination

1994-09-07
S63 Uniform Securities Agent State Law Examination

1983-09-23

Other Names

Ken Chan
Kenny Chan

View on SEC IAPD