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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
WA RA APPROVED 2015-07-06
HI RA APPROVED 2009-01-15
  • WA RA
    APPROVED
    Since 2015-07-06
  • HI RA
    APPROVED
    Since 2009-01-15

Branch Locations

1001 Bishop St Ste 1900, Honolulu, HI 96813 • United States

Honolulu, HI • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Honolulu HI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Honolulu HI 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2009-01-16
    Morgan Stanley & Co. Llc
    Honolulu, HI
  • 1992-03-17 → 2007-04-02
    Morgan Stanley Dw Inc.
    Honolulu, HI
    Honolulu, HI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-06
S63 Uniform Securities Agent State Law Examination 1986-01-15
  • S65 Uniform Investment Adviser Law Examination
    1995-05-06
  • S63 Uniform Securities Agent State Law Examination
    1986-01-15
Other Names
  • Geroge Satoshi Hirai

View on SEC IAPD

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