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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
FL RA APPROVED 2024-03-14
NY RA APPROVED 2021-07-27
TX RA APPROVED_RES 2010-01-21
NJ RA APPROVED 2006-04-12
  • FL RA
    APPROVED
    Since 2024-03-14
  • NY RA
    APPROVED
    Since 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2010-01-21
  • NJ RA
    APPROVED
    Since 2006-04-12

Branch Locations

6390 Main St, Ste 100, Williamsville, NY 14221 • United States

9110 Strada Pl 3Rd Floor [F9-Rbo], Naples, FL 34108 • 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 Buffalo NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Buffalo NY 11/2016 Present
Other Businesses

MASONIC MEDICAL RESEARCH INSTITUTE, INV. RELATED, UTICA, NY, CHAIR OF THE BOARD OF DIRECTORS, START: 5/5/18, 5 HOURS/MONTH, 0 DURING TRADING, REVIEWS INVESTMENT PERFORMANCES AND PAYS ORGANIZATION EXPENSES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-21
S63 Uniform Securities Agent State Law Examination 1994-12-16
  • S65 Uniform Investment Adviser Law Examination
    1995-12-21
  • S63 Uniform Securities Agent State Law Examination
    1994-12-16
Other Names
  • David F Schneeweiss

View on SEC IAPD

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