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Kim Nam Mau

Wells Fargo Clearing Services, LLC

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About Kim Nam Mau

Kim Nam Mau is an active financial advisor with Wells Fargo Clearing Services, LLC based in San Jose, California. Kim has been in the industry since 2024. Kim is registered with FINRA and holds the Series 63, SIE and Series 6TO licenses. Kim specializes in investment consulting services, financial planning and portfolio management for both businesses and individuals.

Firm Information

Kim Mau is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kim Mau’s Registration & Firm History

CA

08/21/2024 - Present

Wells Fargo Clearing Services, LLC (SAN JOSE CA)

CA

04/15/2024 - 06/11/2024

WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)

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Licenses & Designations

BC

Issued 07/08/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/15/2024

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 03/18/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kim Nam Mau.
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