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Dipanki Maulik Shah

Wells Fargo Clearing Services, LLC

San Ramon, CA

Walnut Creek, 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 2021-03-11
  • CA RA
    APPROVED
    Since 2021-03-11

Branch Locations

11020 Bollinger Canyon Rd, San Ramon, CA 94582 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • 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 Mountain View CA 08/2016 11/2016
Wells Fargo Bank, Na San Ramon CA 09/2013 Present
Wells Fargo Clearing Services, Llc San Ramon CA 11/2016 Present
  • 08/2016 → 11/2016
    Wells Fargo Advisors Llc
    Mountain View, CA
  • 09/2013 → Present
    Wells Fargo Bank, Na
    San Ramon, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    San Ramon, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-03-11
S63 Uniform Securities Agent State Law Examination 2017-01-17
  • S65 Uniform Investment Adviser Law Examination
    2021-03-11
  • S63 Uniform Securities Agent State Law Examination
    2017-01-17
Other Names
  • Dipanki Shah

View on SEC IAPD

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