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Gemma S Secoquian-Wu

Wells Fargo Clearing Services, LLC

Santa Rosa, CA

CRD 3180770

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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
CA RA APPROVED 2025-12-05
  • CA RA
    APPROVED
    Since 2025-12-05

Branch Locations

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • 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
Jp Morgan Securities Llc Vallejo CA 06/2016 12/2025
Jpmorgan Chase Bank, N.A Vallejo CA 01/2018 12/2025
Wells Fargo Clearing Services, Llc Santa Rosa CA 12/2025 Present
Previous Registrations
  • 2012-10-01 → 2025-12-07
    Vallejo, CA
    Vallejo, CA
    Vallejo, CA
    Benicia, CA
    Vallejo, CA
    Vallejo, CA
    Vallejo, CA
    Vallejo, CA
    Benicia, CA
    Vallejo, CA
    Vallejo, CA
    Vallejo, CA
    Benicia, CA
    Fairfield, CA
    Fairfield, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Hercules, CA
    Oakland, CA
    Oakland, CA
    Oakland, CA
    Hercules, CA
    Vacaville, CA
    Fairfield, CA
    Fairfield, CA
    Suisun City, CA
    Vacaville, CA
    Vallejo, CA
    Vallejo, CA
    Benicia, CA
    Vallejo, CA
  • 2004-09-10 → 2009-05-02
    Wamu Investments, Inc.
    Hercules, CA
    Oakland, CA
    Oakland, CA
    Oakland, CA
    Richmond, CA
    Richmond, CA
    Hercules, CA
  • 2001-07-20 → 2004-09-08
    Wells Fargo Investments, Llc
    San Leandro, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1999-09-17
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1999-09-17
Other Names
  • Gemma Solis Secoquian
  • Gemma Secoquian
  • Gemma S. Wu
  • Gemma Solis Secoquian-Wu

View on SEC IAPD

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