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Ernest Lau

Wells Fargo Clearing Services, LLC

San Jose, CA

Santa Clara, 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 2025-08-27
  • CA RA
    APPROVED
    Since 2025-08-27

Branch Locations

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States

65 North Winchester Blvd, Santa Clara, CA 95050 • 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 Union City/Oakland/Union City/Newark/Milpitas CA 07/2005 12/2021
Wells Fargo Advisors Llc Milpitas CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Milpitas CA 11/2016 12/2021
Fidelity Investments Dublin CA 01/2022 08/2025
Fidelity Investments Boston MA 03/2025 08/2025
Wells Fargo Clearing Services, Llc San Jose CA 08/2025 Present
  • 07/2005 → 12/2021
    Wells Fargo Bank
    Union City/Oakland/Union City/Newark/Milpitas, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Milpitas, CA
  • 11/2016 → 12/2021
    Wells Fargo Clearing Services, Llc
    Milpitas, CA
  • 01/2022 → 08/2025
    Fidelity Investments
    Dublin, CA
  • 03/2025 → 08/2025
    Fidelity Investments
    Boston, MA
  • 08/2025 → Present
    Wells Fargo Clearing Services, Llc
    San Jose, CA
Previous Registrations
  • 2025-03-31 → 2025-08-14
    Strategic Advisers Llc
    Boston, MA
    Milpitas, CA
    Dublin, CA
  • 2022-03-29 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Dublin, CA
  • 2011-01-03 → 2022-01-19
    Wells Fargo Clearing Services, Llc
    Milpitas, CA
    Walnut Creek, CA
    Walnut Creek, CA
    Redwood City, CA
    Palo Alto, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
  • 2006-10-13 → 2011-01-03
    Wells Fargo Investments, Llc
    Union City, CA
    Oakland, CA
    Milpitas, CA
    Milpitas, CA
    Union City, CA
    Newark, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-12
  • S66 Uniform Combined State Law Examination
    2006-10-12
Other Names
  • Ernest Borg Lau
  • Ernest Borg Lau

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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