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Shad Paul Ortiz

Wells Fargo Clearing Services, LLC

Pasadena, CA

Burbank, 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 2014-07-31
TX RA APPROVED 2014-07-31
  • CA RA
    APPROVED
    Since 2014-07-31
  • TX RA
    APPROVED
    Since 2014-07-31

Branch Locations

225 S. Lake Ave Ste 700, Pasadena, CA 91101 • United States

Burbank, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Pasadena CA 07/2014 11/2016
Wells Fargo Clearing Services, Llc Pasadena CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2014-08-11
    Morgan Stanley
    Glendale, CA
    Pasadena, CA
    Pasadena, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Glendale, CA
  • 2000-11-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Glendale, CA
    Glendale, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-15
S63 Uniform Securities Agent State Law Examination 1999-06-11
  • S65 Uniform Investment Adviser Law Examination
    1999-06-15
  • S63 Uniform Securities Agent State Law Examination
    1999-06-11
Other Names
  • Shad P Ortiz

View on SEC IAPD

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CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
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