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Tina Tinau Louie

Wells Fargo Clearing Services, LLC

San Jose, CA

South San Francisco, 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 2009-09-28
  • CA RA
    APPROVED
    Since 2009-09-28

Branch Locations

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States

10 Chestnut Ave, South San Francisco, CA 94080 • 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 San Leandro CA 09/2009 11/2016
Wells Fargo Clearing Services, Llc San Leandro CA 11/2016 Present
Previous Registrations
  • 2006-11-03 → 2009-09-28
    U.S. Bancorp Investments, Inc.
    San Francisco, CA
    Alameda, CA
    Alameda, CA
    Alameda, CA
    Alameda, CA
  • 2005-10-27 → 2007-02-21
    Citicorp Investment Services
    Oakland, CA
    Oakland, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-25
S63 Uniform Securities Agent State Law Examination 1999-06-01
  • S65 Uniform Investment Adviser Law Examination
    2005-10-25
  • S63 Uniform Securities Agent State Law Examination
    1999-06-01

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
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