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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 2020-01-24
UT RA APPROVED 2017-07-31
CO RA APPROVED 2015-05-07
  • CA RA
    APPROVED
    Since 2020-01-24
  • UT RA
    APPROVED
    Since 2017-07-31
  • CO RA
    APPROVED
    Since 2015-05-07

Branch Locations

888 Prospect St Stes 301 & 320, La Jolla, CA 92037 • United States

4655 Executive Dr Ste 1000 [Sc-Rbo], San Diego, CA 92121 • 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
For My Three Children Draper UT 08/2014 Present
Wells Fargo Advisors. Llc Colorado Springs CO 05/2015 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 Present
  • 08/2014 → Present
    For My Three Children
    Draper, UT
  • 05/2015 → 11/2016
    Wells Fargo Advisors. Llc
    Colorado Springs, CO
  • 11/2016 → Present
    Los Angeles, CA
Previous Registrations
  • 2012-10-01 → 2015-05-06
    Cypress, CA
    Artesia, CA
    Garden Grove, CA
    Orange, CA
    Anaheim, CA
    Anaheim, CA
    Fullerton, CA
    Anaheim, CA
    Santa Ana, CA
    Fullerton, CA
    Fullerton, CA
    Anaheim, CA
    Garden Grove, CA
    Fountain Valley, CA
    Norwalk, CA
    Santa Ana, CA
    Buena Park, CA
    Garden Grove, CA
    Huntington Beach, CA
    Santa Ana, CA
    Los Alamitos, CA
    Westminster, CA
    Cerritos, CA
    Santa Ana, CA
    Cerritos, CA
    Westminster, CA
    Buena Park, CA
    Costa Mesa, CA
    Costa Mesa, CA
    Huntington Beach, CA
    Huntington Beach, CA
    Irvine, CA
    Palo Alto, CA
    Hayward, CA
    San Jose, CA
    Corona Del Mar, CA
    Costa Mesa, CA
    Santa Clara, CA
    Palo Alto, CA
    Sunnyvale, CA
    Newport Beach, CA
    La Palma,, CA
    Santa Clara, CA
    San Jose, CA
    Cupertino, CA
    San Jose, CA
    Los Gatos, CA
    Menlo Park, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    Campbell, CA
    San Jose, CA
    Mountain View, CA
    Sunnyvale, CA
    San Jose, CA
    Cupertino, CA
    San Jose, CA
    Redwood City, CA
    Santa Clara, CA
    San Jose, CA
    Palo Alto, CA
    Santa Clara, CA
    San Jose, CA
    Sunnyvale, CA
    San Jose, CA
    San Jose, CA
    San Jose, CA
    Palo Alto, CA
    San Jose, CA
    San Jose, CA
    Los Altos, CA
    Los Gatos, CA
    San Jose, CA
    Campbell, CA
    Redwood City, CA
    Santa Clara, CA
    Sunnyvale, CA
    Los Gatos, CA
    Mountain View, CA
    Portola Valley, CA
    San Carlos, CA
    San Jose, CA
    Saratoga, CA
    San Jose, CA
    Saratoga, CA
    San Jose, CA
    Menlo Park, CA
    Woodside, CA
    San Jose, CA
    Cupertino, CA
    San Jose, CA
    Foothill Ranch, CA
    Rancho Santa Margarita, CA
    Irvine, CA
    Seal Beach, CA
    Mission Viejo, CA
    Irvine, CA
    Ladera Ranch, CA
    Orange, CA
    Ladera Ranch, CA
    San Clemente, CA
    Newport Beach, CA
    San Clemente, CA
    Lake Forest, CA
    Costa Mesa, CA
    Mission Viejo, CA
    Oxnard, CA
    Irvine, CA
    Fountain Valley, CA
    Laguna Hills, CA
    Huntington Beach, CA
    Irvine, CA
    Anaheim, CA
    Laguna Niguel, CA
    San Juan Capistrano, CA
    Mission Viejo, CA
    Newport Beach, CA
    Huntington Beach, CA
    Irvine, CA
    Irvine, CA
    Huntington Bch, CA
    Laguna Niguel, CA
    San Clemente, CA
    Irvine, CA
    Irvine, CA
    Laguna Hills, CA
    Lake Forest, CA
    Irvine, CA
    Laguna Hills, CA
    Mission Viejo, CA
    Irvine, CA
    Tustin, CA
    Huntington Beach, CA
    Wilmington, CA
    Aliso Viejo, CA
    Irvine, CA
    Seal Beach, CA
    Mission Viejo, CA
    Orange, CA
    Mission Viejo, CA
    Dana Point, CA
    Irvine, CA
    San Jose, CA
    Fountain Valley, CA
    Huntington Beach, CA
    San Jose, CA
    Cupertino, CA
    Santa Clara, CA
  • 2007-11-06 → 2012-10-01
    Chase Investment Services Corp.
    Norwalk, CA
    Fountain Valley, CA
    Cypress, CA
    Irvine, CA
    Huntington Beach, CA
    Seal Beach, CA
    Fountain Valley, CA
    Santa Ana, CA
    Huntington Beach, CA
    Newport Beach, CA
    Costa Mesa, CA
    Costa Mesa, CA
    Fountain Valley, CA
    Buena Park, CA
    Westminster, CA
    Cerritos, CA
    Santa Ana, CA
    Huntington Beach, CA
    Cerritos, CA
    Westminster, CA
    Costa Mesa, CA
    Los Alamitos, CA
    Seal Beach, CA
    Santa Ana, CA
    Huntington Beach, CA
    Huntington Beach, CA
    Garden Grove, CA
    Buena Park, CA
    Salt Lake City, UT
    Midvale, UT
    Santa Ana, CA
    Newport Beach, CA
    Salt Lake City, UT
    Salt Lake City, UT
    Huntington Beach, CA
    Sandy, UT
    Garden Grove, CA
    Anaheim, CA
    Fullerton, CA
    Fullerton, CA
    Santa Ana, CA
    Anaheim, CA
    Fullerton, CA
    Anaheim, CA
    Anaheim, CA
    Orange, CA
    Garden Grove, CA
    Artesia, CA
Other Businesses

FOR MY THREE CHILDREN; INV. RELATED; DRAPER, UT; 22% OWNERSHIP; PASS-THROUGH LLC FOR GIFT TO MY SIBLINGS AND MYSELF; START 1/2007; 0 HRS PER MONTH. TRUSTEE OF MOTHER'S TRUST; INV. RELATED; SAN FRANCISCO, CA; START 11/2014; 1 HR PER MONTH; 1 HR DURING TRADING. TRUSTEE OF MOTHER'S TRUST; INV. RELATED; SAINT GEORGE, UT; START 12/2016; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-11-01
S63 Uniform Securities Agent State Law Examination 2006-09-07
  • S65 Uniform Investment Adviser Law Examination
    2007-11-01
  • S63 Uniform Securities Agent State Law Examination
    2006-09-07
Other Names
  • Sigifredo Carrera

View on SEC IAPD

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