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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
MI RA APPROVED 2025-03-13
IN RA APPROVED 2022-04-08
MO RA APPROVED 2017-01-20
CO RA APPROVED 2012-07-09
TX RA APPROVED_RES 2012-06-22
  • MI RA
    APPROVED
    Since 2025-03-13
  • IN RA
    APPROVED
    Since 2022-04-08
  • MO RA
    APPROVED
    Since 2017-01-20
  • CO RA
    APPROVED
    Since 2012-07-09
  • TX RA
    APPROVED_RES
    Since 2012-06-22

Branch Locations

8888 Keystone Crossing Ste 700, Indianapolis, IN 46240 • United States

8888 Keystone Crossing Ste 700 [Ci-Rbo], Indianapolis, IN 46240 • United States

255 E Brown St Ste 400, Birmingham, MI 48009 • United States

77 Kercheval Ave, Grosse Pointe Farms, MI 48236 • 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 Colorado Springs CO 06/2012 11/2016
Wells Fargo Clearing Services, Llc Colorado Springs CO 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2012-07-13
    Colorado Springs, CO
    Greenwood Village, CO
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Colorado Springs, CO
  • 2006-08-21 → 2007-04-02
    Morgan Stanley Dw Inc.
    Colorado Springs, CO
  • 2003-06-24 → 2006-08-29
    Ameriprise Advisor Services, Inc.
    Colorado Springs, CO
    Castle Rock, CO
  • 2003-03-25 → 2003-06-25
    Denver, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-06
S63 Uniform Securities Agent State Law Examination 1995-10-02
  • S65 Uniform Investment Adviser Law Examination
    2000-12-06
  • S63 Uniform Securities Agent State Law Examination
    1995-10-02

View on SEC IAPD

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