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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
VA RA APPROVED 2008-01-01
  • VA RA
    APPROVED
    Since 2008-01-01

Branch Locations

10 S Jefferson St Ste 100, Roanoke, VA 24011 • 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 Roanoke VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Roanoke VA 11/2016 Present
Previous Registrations
  • 1999-05-17 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Roanoke, VA
    St. Louis, MO
    Roanoke, VA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-10
S63 Uniform Securities Agent State Law Examination 1988-01-11
  • S65 Uniform Investment Adviser Law Examination
    1999-05-10
  • S63 Uniform Securities Agent State Law Examination
    1988-01-11

View on SEC IAPD

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