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Kim Hoang Pham

Wells Fargo Clearing Services, LLC

Milpitas, CA

Walnut Creek, 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 2021-06-08
  • CA RA
    APPROVED
    Since 2021-06-08

Branch Locations

1715 Landess Ave, Milpitas, CA 95035 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • 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 Bank Na Milpitas CA 10/2015 Present
Wells Fargo Clearing Services Llc Milpitas CA 01/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-06-07
S63 Uniform Securities Agent State Law Examination 2018-05-10
  • S65 Uniform Investment Adviser Law Examination
    2021-06-07
  • S63 Uniform Securities Agent State Law Examination
    2018-05-10
Other Names
  • Kim Pham

View on SEC IAPD

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Other Offices

CHARLES SCHWAB & CO., INC. · Milpitas, CA
CETERA INVESTMENT ADVISERS LLC · MILPITAS, CA
NI ADVISORS · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
NEW ASSETS INVESTMENT ADVISORS LLC · MILPITAS, CA
INDEPENDENT FINANCIAL GROUP, LLC · Milpitas, CA
U.S. BANCORP ADVISORS, LLC · Milpitas, CA
CITIGROUP GLOBAL MARKETS INC. · Milpitas, CA

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