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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 2020-11-12
CA RA APPROVED 2015-04-27
  • TX RA
    APPROVED
    Since 2020-11-12
  • CA RA
    APPROVED
    Since 2015-04-27

Branch Locations

555 California St 24Th Fl, San Francisco, CA 94104 • 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 San Francisco CA 04/2015 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2015-04-30
    San Francisco, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    San Francisco, CA
  • 2006-10-20 → 2007-04-02
    Morgan Stanley Dw Inc.
    San Francisco, CA
Other Businesses

RENTAL PROPERTY; INV RELATED; SAN FRANCISCO, CA; 100% OWNERSHIP; START 11/2011; 0 HOURS PER MONTH, 0 DURING TRADING; LANDLORD. RENTAL PROPERTY; INV RELATED; SAN FRANCISCO, CA; 100% OWNERSHIP; START 2/2017; 0 HOURS PER MONTH, 0 DURING TRADING; LANDLORD. 462/464 11TH AVE TIC; NON INV RELATED; SAN FRANCISCO, CA; 50% OWNER; 2-UNIT BUILDING; START: 4/1/19; 0 HR/MO; 0 DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-19
  • S66 Uniform Combined State Law Examination
    2006-10-19

View on SEC IAPD

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