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Richard M. Sofiak

Wells Fargo Clearing Services, LLC

Orland Park, IL

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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
IN RA APPROVED 2015-05-04
IL RA APPROVED 2015-05-01
TX RA APPROVED 2015-05-01
  • IN RA
    APPROVED
    Since 2015-05-04
  • IL RA
    APPROVED
    Since 2015-05-01
  • TX RA
    APPROVED
    Since 2015-05-01

Branch Locations

15255 S 94Th Ave 1St Fl, Orland Park, IL 60462 • 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 Orland Park IL 05/2015 11/2016
Wells Fargo Clearing Services, Llc Orland Park IL 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2015-05-13
    Morgan Stanley
    Chicago, IL
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Chicago, IL
    The Woodlands, TX
    Merrilville, IN
  • 2006-08-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Merrilville, IN
  • 1998-12-15 → 2006-08-09
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Merrillville, IN
    Merrillville, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-28
S63 Uniform Securities Agent State Law Examination 1988-02-26
  • S65 Uniform Investment Adviser Law Examination
    1994-04-28
  • S63 Uniform Securities Agent State Law Examination
    1988-02-26
Other Names
  • Richard Michael Sofiak

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Orland Park, IL
OSAIC WEALTH, INC. · Orland Park, IL
CETERA INVESTMENT ADVISERS LLC · ORLAND PARK, IL
W&S BROKERAGE SERVICES, INC. · ORLAND PARK, IL
WAVE & BREAKOUT L.L.C. · ORLAND PARK, IL
HIGHPOINT PLANNING PARTNERS · ORLAND PARK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ORLAND PARK, IL
AMERIPRISE FINANCIAL SERVICES, LLC · ORLAND PARK, IL

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