Best Investors Account Sign in
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_RES 2014-04-14
CA RA APPROVED 2009-02-03
  • TX RA
    APPROVED_RES
    Since 2014-04-14
  • CA RA
    APPROVED
    Since 2009-02-03

Branch Locations

400 Spectrum Center Dr Ste 2160, Irvine, CA 92618 • 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 Advisors Llc Mission Viejo CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Mission Viejo CA 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2009-02-09
    Morgan Stanley & Co. Llc
    Irvine, CA
  • 2003-01-14 → 2007-04-02
    Morgan Stanley Dw Inc.
    Irvine, CA
    Newport Bch, CA
  • 1997-07-08 → 2002-12-20
    Mission Viejo, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-22
S63 Uniform Securities Agent State Law Examination 1985-12-23
  • S65 Uniform Investment Adviser Law Examination
    2016-12-22
  • S63 Uniform Securities Agent State Law Examination
    1985-12-23

View on SEC IAPD

More in Irvine, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor