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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 2026-03-23
CA RA APPROVED 2022-10-05
UT RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2026-03-23
  • CA RA
    APPROVED
    Since 2022-10-05
  • UT RA
    APPROVED
    Since 2011-01-03

Branch Locations

299 S Main St 7Th Fl [Mk/Me-Rbo], Salt Lake City, UT 84111 • United States

Palm Springs, CA • 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 Salt Lake City UT 01/2011 11/2016
Wells Fargo Clearing Services, Llc Salt Lake City UT 11/2016 Present
Previous Registrations
  • 2007-05-29 → 2011-01-03
    Wells Fargo Investments, Llc
    Salt Lake City, UT
    Salt Lake City, UT
Other Businesses

1.DANG INVESTMENTS LLC; INV RELATED; SALT LAKE CITY, UT; 100% OWNERSHIP WITH SPOUSE; REAL ESTATE; START DATE 7/20/2020; 3 HRS PER MONTH; 0 HRS DURING TRADING. DUTIES: ADVICE AND SUPERVISION.| 3.RENTAL PROPERTY; INV RELATED; SALT LAKE CITY, UT; 100% OWNER WITH SPOUSE; START: 12/09/2014 HRS: 0 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD.| 4. KATIA, LLC; INV. RELATED; SALT LAKE CITY, UT; 50% OWNERSHIP; REAL ESTATE MANAGEMENT; START DATE 10/12/2016; 0 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES - NONE.| 5.RENTAL PROPERTY, INVT RELATED, SALT LAKE CITY, UT, 100% OWNERSHIP WITH SPOUSE, START DATE 3/31/2020, 2 HRS PER MONTH, 0 HRS DURING TRADING, INVESTOR/OWNER.| 6. CO-TRUSTEE OF MOTHER-IN-LAW'S TRUST; INV. RELATED; HONOLULU, HI; START DATE 4/2021; 2 HRS PER MONTH; 0 HRS DURING TRADING.| 8. SAMINIKA, LLC; NOT INV. RELATED; SALT LAKE CITY, UT; 100% OWNERSHIP WITH SPOUSE; START DATE 08/19/2021; NUMBER OF HOURS PER MONTH 5; NUMBER OF HOURS DURING TRADING 0; REAL ESTATE AND STOCK MARKET INVESTING.| 9. COMMERCIAL RENTAL PROPERTY, INVT RELATED, SALT LAKE CITY, UT, 100% OWNERSHIP WITH SPOUSE, START DATE 8/31/2022, 2 HRS PER MONTH, 0 HRS DURING TRADING, OWNER. | 10. THE MILK BLOCK, LLC; INV RELATED; LSC, UT; 50% OWNERSHIP; 06/2025; 3 HOURS PER MONTH; 0 DURING TRADING; LLC FOR REAL ESTATE RENTALS| 11.CO-TRUSTEE OF MOTHER-IN-LAW'S LIVING TRUST; INV. RELATED; SLC, UT; START DATE 8/18/2025; 1 HR PER MONTH; 1 HR DURING TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-14
S63 Uniform Securities Agent State Law Examination 1993-10-22
  • S65 Uniform Investment Adviser Law Examination
    1999-05-14
  • S63 Uniform Securities Agent State Law Examination
    1993-10-22
Other Names
  • Sam Sleiman
  • Samir Sleiman
  • Sam M Sleiman

View on SEC IAPD

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