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Mohammad Asif Shams

Wells Fargo Clearing Services, LLC

Castro Valley, CA

Walnut Creek, CA

Newark, 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 2020-11-30
  • CA RA
    APPROVED
    Since 2020-11-30

Branch Locations

3500 Castro Valley Blvd, Castro Valley, CA 94546 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

34988 Newark Blvd, Newark, CA 94560 • 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 Na Castro Valley CA 04/2016 Present
Wells Fargo Clearing Services Llc Castro Valley CA 03/2017 Present
Other Businesses

UBER, NOT INV. RELATED, SAN FRANCISCO, CA. START: 8/2/17, 15 HOURS/MONTH, 0 DURING TRADING, PROVIDING PEOPLE TRANSPORTATION.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-11-30
S63 Uniform Securities Agent State Law Examination 2017-06-17
  • S66 Uniform Combined State Law Examination
    2020-11-30
  • S63 Uniform Securities Agent State Law Examination
    2017-06-17
Other Names
  • Mohammadasif Shams

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
MWA FINANCIAL SERVICES INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
EDWARD JONES
ALLSTATE FINANCIAL ADVISORS, LLC
E. DEMMLER AND ASSOCIATES
LPL FINANCIAL LLC
STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

Chun Kit Lee
LULU XIONG
ELLEN NGUYEN
Alfredo Banuelos
Steven Moone
Herman Yang
TAMMY TERRI LAU
RICKY SIU

Other Offices

J.P. MORGAN SECURITIES LLC · CASTRO VALLEY, CA
MWA FINANCIAL SERVICES INC. · Castro Valley, CA
WELLS FARGO CLEARING SERVICES, LLC · CASTRO VALLEY, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Castro Valley, CA
EDWARD JONES · CASTRO VALLEY, CA
ALLSTATE FINANCIAL ADVISORS, LLC · Castro Valley, CA
E. DEMMLER AND ASSOCIATES · CASTRO VALLEY, CA
LPL FINANCIAL LLC · CASTRO VALLEY, CA

More in Castro Valley, CA

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