Roberto Ho Chiu

CRD 3198575 · Wells Fargo Advisors · Pleasanton, CA

IA RegisteredBroker

Also appears in the source record as: Robert Chiu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (20): Alabama · Arizona · California · Florida · Georgia · Hawaii · Idaho · Illinois · Massachusetts · Montana · Nevada · New Mexico · New York · North Carolina · Oregon · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 17
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (11)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Pleasanton, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Pleasanton, CA · BC capacity

start not retrieved → present
Barclays Capital Inc.
San Francisco, CA · IA capacity

Feb 13, 2013 → Oct 11, 2013
Barclays Capital Inc.
San Francisco, CA · BC capacity

Feb 13, 2013 → Oct 11, 2013
Deutsche Bank Securities Inc.
San Francisco, CA · IA capacity

Jan 19, 2011 → Jul 21, 2011
Deutsche Bank Securities Inc.
San Francisco, CA · BC capacity

Jan 19, 2011 → Jul 21, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Francisco, CA · BC capacity

May 27, 2010 → Dec 23, 2010
Merrill Lynch, Pierce, Fenner & Smith Incorporated
San Francisco, CA · IA capacity

May 19, 2010 → Dec 23, 2010
Union Square Investment Co
San Francisco, CA · IA capacity

Apr 9, 2010 → Aug 12, 2010
Ubs International Inc.
San Francisco, CA · BC capacity

Jun 22, 2007 → Jan 27, 2009
Citigroup Global Markets Inc.
San Francisco, CA · BC capacity

Jun 7, 2007 → Jul 7, 2007

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3198575 ↗ FINRA BrokerCheck record for CRD 3198575 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.