Best Investors Account Sign in

Gianna Rose Saso

Wells Fargo Clearing Services, LLC

San Jose, CA

Claim This Profile
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 2024-06-13
CA RA APPROVED 2024-06-12
  • TX RA
    APPROVED
    Since 2024-06-13
  • CA RA
    APPROVED
    Since 2024-06-12

Branch Locations

50 W San Fernando St Ste 1500 [Ka-Rbo], San Jose, CA 95113 • 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 02/2023 Present
Dan Caputo Co. Campbell CA 09/2016 10/2022
Unemployed Morgan Hill CA 11/2022 01/2023
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-06-11
S63 Uniform Securities Agent State Law Examination 2024-03-11
  • S65 Uniform Investment Adviser Law Examination
    2024-06-11
  • S63 Uniform Securities Agent State Law Examination
    2024-03-11

View on SEC IAPD

Other Firms

J.P. MORGAN SECURITIES LLC
PFG ADVISORS
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EQUITABLE ADVISORS, LLC
ROLO VENTURES MANAGEMENT LLC
TIGER & BULLDOG MANAGEMENT, LLC
HICKOK ADVISORY, LLC
KAIZEN FINANCIAL STRATEGIES, LLC

Other Investors

Ryan Leiby
Adrian Baker
Bianca N. Cross
Jonathan A Stoft
BAO DINH
Luke Maura
BEN Wolff KRUGMAN
DANIEL ROY OWENS

Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
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
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

More in San Jose, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor