Jose Sergio Bohon

Current Employers

Employment History

• 09/2014 → 11/2016
  Wells Fargo Advisors, Llc
  Pasadena, CA
• 11/2016 → 09/2025
  Wells Fargo Clearing Services, Llc
  Pasadena, CA
• 09/2025 → Present
  Stifel
  Murrieta, CA

Previous Registrations

• 2014-09-05 → 2025-09-25
  Wells Fargo Clearing Services, Llc
  Pasadena, CA
  Ontario, CA
  Corona, CA
• 2009-12-08 → 2014-10-07
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Riverside, CA
  Riverside, CA
• 2006-07-24 → 2009-03-17
  Citigroup Global Markets Inc.
  Los Angeles, CA
  Los Angeles, CA
• 1996-11-08 → 2006-06-21
  Morgan Stanley Dw Inc.
  Irvine, CA

Other Businesses

1. Inland Empire Community Foundation; 3700 Sixth Street Riverside, CA 92260; Non profit community foundation serving Riverside and San Bernardino counties.; Investment committee; Quarterly meeting to review the foundation assets; 01/01/2014; 5 hrs/qtr; Not during securities trading hours; Not Investment-Related 2. Inland Empire Community Foundation; 3700 Sixth Street Riverside, CA 92260; Non profit community foundation serving Riverside and San Bernardino counties; CEILO committee member; Sub committee to help manage the CEILO fund. It is a fund that is focus on the needs of the Hispanic communities in the two counties.; 06/15/2022; 5 hrs/month; Not during securities trading hours; Not Investment-Related 3. Inland Empire Community Foundation; 3700 Sixth Street Riverside, CA 92260; Non profit community foundation serving Riverside and San Bernardino counties; Emeritus Chair, Board of Directors; Consulting role, no vote or authority.; 01/01/2024; 3 hrs/month; Not during securities trading hours; Not Investment-Related 4. Inland Empire Community Foundation; 3700 Sixth Street Riverside, CA 92260; Non profit community foundation serving Riverside and San Bernardino counties; Board development committee; Find new board members from the community; 06/15/2018; 2 hrs/month; Not during securities trading hours; Not Investment-Related

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-05
• S63 Uniform Securities Agent State Law Examination
  1986-09-04

Designations

Other Names

• Sergio Bohon