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John Hauhan Liu

Wells Fargo Clearing Services, LLC

San Jose, CA

Gilroy, CA

CRD 6828474

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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 2024-04-08
CA RA APPROVED 2017-09-08
  • TX RA
    APPROVED_RES
    Since 2024-04-08
  • CA RA
    APPROVED
    Since 2017-09-08

Branch Locations

550 S Winchester Blvd Ste 601, San Jose, CA 95128 • United States

Gilroy, 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 Clearing Services, Llc San Jose CA 06/2017 Present
Defense Manpower Data Center Seaside CA 09/2006 06/2017
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; SAN JOSE, CA; 100% OWNERSHIP; START DATE 03/23/2010; .5 HOURS PER MONTH / 0 DURING TRADING HOURS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-08
  • S66 Uniform Combined State Law Examination
    2017-09-08
Other Names
  • John Liu

View on SEC IAPD

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