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Richard Andre Sorenson

Wells Fargo Clearing Services, LLC

Irvine, CA

Irvine, CA

CRD 5841490

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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_RES 2024-07-03
CA RA APPROVED 2020-12-08
  • TX RA
    APPROVED_RES
    Since 2024-07-03
  • CA RA
    APPROVED
    Since 2020-12-08

Branch Locations

6503 Quail Hill Pkwy, Irvine, CA 92603 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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, N.A. San Clemente CA 08/2007 Present
Wells Fargo Advisors Llc Laguna Niguel CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Clemente CA 11/2016 Present
  • 08/2007 → Present
    Wells Fargo Bank, N.A.
    San Clemente, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Laguna Niguel, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    San Clemente, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-08
S63 Uniform Securities Agent State Law Examination 2010-10-19
  • S65 Uniform Investment Adviser Law Examination
    2020-12-08
  • S63 Uniform Securities Agent State Law Examination
    2010-10-19

View on SEC IAPD

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