Cynthia Sherman

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-04-25

CA RA
APPROVED

Since 2022-04-25

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

350 W Colorado Blvd 3Rd Fl Ste B, Pasadena, CA 91105 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Bank	Los Angeles	CA	06/2005	Present
Wells Fargo Clearing Services	Pasadena	CA	01/2022	Present

06/2005 → Present

Wells Fargo Bank

Los Angeles, CA
01/2022 → Present

Wells Fargo Clearing Services

Pasadena, CA

Previous Registrations

2006-09-11 → 2009-10-27

Wells Fargo Investments, Llc

Los Angeles, CA

Other Businesses

RENTAL PROPERTY; INV. RELATED; ARCADIA,CA; 100% OWNERSHIP; START DATE 11/13/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. TRUSTEE OF DECEASED MOTHER'S TRUST; INV. RELATED PASADENA, CA; START DATE 11/2021; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-04-23

S66 Uniform Combined State Law Examination

2022-04-23

Other Names

Cynthia Jane Sherman

View on SEC IAPD