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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 2025-11-24
  • TX RA
    APPROVED
    Since 2025-11-24

Branch Locations

201 Main St 4Th Fl [Tg-Rbo], Fort Worth, TX 76102 • United States

1400 S Main St, Grapevine, TX 76051 • 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
J.P. Morgan Securities Llc Alexandria LA 10/2023 05/2025
Jp Morgan Chase Bank, N.A. Alexandria LA 10/2023 05/2025
Realty Company Of Louisiana Llc Pineville LA 05/2023 10/2023
Tracy's Nails Pineville LA 09/2021 08/2025
Evangeline Bank Alexandria LA 05/2022 06/2022
Focus Frontier Alexandria LA 01/2022 05/2022
Viet Thai Bistro Alexandria LA 12/2017 09/2021
Louisiana State University At Alexandria Alexandria LA 08/2016 04/2019
Wells Fargo Clearing Services, Llc Bedford TX 09/2025 Present
Wells Fargo Bank, Na Bedford TX 09/2025 Present
Realty Company Of Louisiana Llc Pineville LA 06/2025 Present
  • 10/2023 → 05/2025
    J.P. Morgan Securities Llc
    Alexandria, LA
  • 10/2023 → 05/2025
    Jp Morgan Chase Bank, N.A.
    Alexandria, LA
  • 05/2023 → 10/2023
    Realty Company Of Louisiana Llc
    Pineville, LA
  • 09/2021 → 08/2025
    Tracy's Nails
    Pineville, LA
  • 05/2022 → 06/2022
    Evangeline Bank
    Alexandria, LA
  • 01/2022 → 05/2022
    Focus Frontier
    Alexandria, LA
  • 12/2017 → 09/2021
    Viet Thai Bistro
    Alexandria, LA
  • 08/2016 → 04/2019
    Louisiana State University At Alexandria
    Alexandria, LA
  • 09/2025 → Present
    Bedford, TX
  • 09/2025 → Present
    Wells Fargo Bank, Na
    Bedford, TX
  • 06/2025 → Present
    Realty Company Of Louisiana Llc
    Pineville, LA
Other Businesses

Entity Name: Realty Company of Louisiana LLC Investment related: Yes Address: 3008 LA-28, Pineville, LA 71360 Nature of the other business: Real Estate Broker Position/Title/Relationship: Real Estate Agent Start Date: 06/01/2025 Approximate # of hours a week: 0 Approximate # of hours during securities trading hours: 0 Briefly describe your duties: Currently active license for conducting business as a real estate agent. License in process of becoming inactive.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-11-24
S63 Uniform Securities Agent State Law Examination 2025-09-30
  • S65 Uniform Investment Adviser Law Examination
    2025-11-24
  • S63 Uniform Securities Agent State Law Examination
    2025-09-30
Other Names
  • Steven Nguyen Ha
  • Steven Ha
  • Steven N Ha

View on SEC IAPD

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