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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
TX RA APPROVED 2025-12-22
CA RA APPROVED 2025-04-14
  • TX RA
    APPROVED
    Since 2025-12-22
  • CA RA
    APPROVED
    Since 2025-04-14

Branch Locations

3059 Townsgate Rd 4Th Fl, Ste 400, Westlake Village, CA 91361 • 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
The Lee Group Westlake CA 01/2017 01/2021
Dream Homes By The Sea Montecito CA 12/2021 05/2023
Socal Valet Malibu CA 08/2017 03/2018
Golf Development Complex Moorpark CA 01/2017 01/2021
Cal State Northridge Northridge CA 05/2018 12/2021
Moorpark Community College Moorpark CA 09/2016 05/2018
Unemployed Agoura Hills CA 05/2016 09/2016
Northwestern Mutual Life Insurance Company Milwaukee WI 06/2023 01/2025
Northwestern Mutual Investment Services Llc Westlake Vlg CA 07/2023 01/2025
Wells Fargo Clearing Services, Llc Westlake Village CA 01/2025 Present
  • 01/2017 → 01/2021
    The Lee Group
    Westlake, CA
  • 12/2021 → 05/2023
    Dream Homes By The Sea
    Montecito, CA
  • 08/2017 → 03/2018
    Socal Valet
    Malibu, CA
  • 01/2017 → 01/2021
    Golf Development Complex
    Moorpark, CA
  • 05/2018 → 12/2021
    Cal State Northridge
    Northridge, CA
  • 09/2016 → 05/2018
    Moorpark Community College
    Moorpark, CA
  • 05/2016 → 09/2016
    Unemployed
    Agoura Hills, CA
  • 06/2023 → 01/2025
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 07/2023 → 01/2025
    Northwestern Mutual Investment Services Llc
    Westlake Vlg, CA
  • 01/2025 → Present
    Westlake Village, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-04-14
  • S66 Uniform Combined State Law Examination
    2025-04-14
Other Names
  • Nick Lane

View on SEC IAPD

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