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Herbert Wu

Wells Fargo Clearing Services, LLC

San Jose, CA

San Jose, CA

San Jose, 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
TX RA APPROVED 2022-01-04
CA RA APPROVED 2021-05-05
  • TX RA
    APPROVED
    Since 2022-01-04
  • CA RA
    APPROVED
    Since 2021-05-05

Branch Locations

575 W Capitol Expy, San Jose, CA 95136 • United States

191 Branham Ln, San Jose, CA 95136 • United States

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • 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 Jose CA 06/2016 11/2016
Wells Fargo Bank, Na San Jose CA 07/2015 Present
Wells Fargo Clearing Services, Llc San Jose CA 11/2016 Present
  • 06/2016 → 11/2016
    Wells Fargo Advisors Llc
    San Jose, CA
  • 07/2015 → Present
    Wells Fargo Bank, Na
    San Jose, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    San Jose, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-05-05
S63 Uniform Securities Agent State Law Examination 2016-08-16
  • S65 Uniform Investment Adviser Law Examination
    2021-05-05
  • S63 Uniform Securities Agent State Law Examination
    2016-08-16
Other Names
  • Herbert Wu
  • Herbert Min Wu

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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