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King Sum Wu

Wells Fargo Clearing Services, LLC

Oakland, CA

Walnut Creek, CA

Oakland, 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 2021-12-01
  • CA RA
    APPROVED
    Since 2021-12-01

Branch Locations

2040 Franklin St, Oakland, CA 94612 • United States

2001 N Main St Ste 410 [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

901 Franklin St Ste 88, Oakland, CA 94607 • 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 Clearing Services, Llc Oakland CA 08/2021 Present
Wells Fargo Bank, Na Oakland CA 08/2021 Present
Sunset West Investment Daly City CA 09/2015 01/2018
East West Bank San Francisco CA 02/2018 12/2018
Unemployed San Leandro CA 01/2019 07/2021
  • 08/2021 → Present
    Wells Fargo Clearing Services, Llc
    Oakland, CA
  • 08/2021 → Present
    Wells Fargo Bank, Na
    Oakland, CA
  • 09/2015 → 01/2018
    Sunset West Investment
    Daly City, CA
  • 02/2018 → 12/2018
    East West Bank
    San Francisco, CA
  • 01/2019 → 07/2021
    Unemployed
    San Leandro, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-01
S63 Uniform Securities Agent State Law Examination 2011-02-26
  • S66 Uniform Combined State Law Examination
    2021-12-01
  • S63 Uniform Securities Agent State Law Examination
    2011-02-26
Other Names
  • King S Wu
  • King Sum Wu
  • King Wu

View on SEC IAPD

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Other Investors

GREGORY BURTON GILBERT
STERLING CARMEN HIRSCH
Mark CHRISTOPHER DeVito
Daire Peter Heneghan
Roscoe Herman Harris
AARON KURT PHILLIPS
WILLIAM STUART MONSTED
Randall w Silvey

Other Offices

INFINITY FINANCIAL SERVICES ADVISORY · OAKLAND, CA
CETERA INVESTMENT ADVISERS LLC · OAKLAND, CA
HOODOO · OAKLAND, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAKLAND, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Oakland, CA
FM CAPITAL GROUP · OAKLAND, CA
FULL SPECTRUM CAPITAL MANAGEMENT COMPANY, LLC · OAKLAND, CA
FINANCIAL AVENGERS, INC. · OAKLAND, CA

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