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Hongshing Chen

Wells Fargo Clearing Services, LLC

New York, NY

CRD 6837471

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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
NY RA APPROVED 2022-03-22
NJ RA APPROVED 2021-06-16
  • NY RA
    APPROVED
    Since 2022-03-22
  • NJ RA
    APPROVED
    Since 2021-06-16

Branch Locations

535 Madison Ave 16Th Fl, New York, NY 10022 • 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
Jpmorgan Chase New York NY 07/2017 06/2019
Jpmorgan Securities Llc New York NY 07/2017 06/2019
Hsbc Bank Usa, N.A. New York NY 06/2010 07/2017
Wells Fargo Clearing Services, Llc New York NY 09/2019 Present
Wells Fargo Bank, Na New York NY 09/2019 Present
  • 07/2017 → 06/2019
    Jpmorgan Chase
    New York, NY
  • 07/2017 → 06/2019
    Jpmorgan Securities Llc
    New York, NY
  • 06/2010 → 07/2017
    Hsbc Bank Usa, N.A.
    New York, NY
  • 09/2019 → Present
    Wells Fargo Clearing Services, Llc
    New York, NY
  • 09/2019 → Present
    Wells Fargo Bank, Na
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-14
S63 Uniform Securities Agent State Law Examination 2017-09-29
  • S66 Uniform Combined State Law Examination
    2021-06-14
  • S63 Uniform Securities Agent State Law Examination
    2017-09-29

View on SEC IAPD

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