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Fatima Romo

Wells Fargo Clearing Services, LLC

Corte Madera, CA

Petaluma, 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_RES 2018-02-03
  • TX RA
    APPROVED_RES
    Since 2018-02-03

Branch Locations

770 Tamalpais Dr Ste 400, Corte Madera, CA 94925 • United States

Petaluma, CA • 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 Corte Madera CA 03/2012 11/2016
Wells Fargo Clearing Services, Llc Corte Madera CA 11/2016 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-09-30
  • S63 Uniform Securities Agent State Law Examination
    2017-09-30

View on SEC IAPD

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