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Constance Sugimoto

Wells Fargo Clearing Services, LLC

Roseville, CA

Roseville, CA

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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_RES 2016-11-03
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2016-11-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

1512 Eureka Rd 3Rd Fl, Roseville, CA 95661 • United States

1512 Eureka Rd Ste 300 [Kc-Rbo], Roseville, CA 95661 • 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 Roseville CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Roseville CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-21
S63 Uniform Securities Agent State Law Examination 1995-08-14
  • S65 Uniform Investment Adviser Law Examination
    1997-10-21
  • S63 Uniform Securities Agent State Law Examination
    1995-08-14
Other Names
  • Constance Emi Sugimoto
  • Connie Emi Sugimoto
  • Constance E Schneeberger
  • Constance Emi Schneeberger
  • Constance Emi Sugimoto

View on SEC IAPD

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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