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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
NH RA APPROVED 2023-07-14
  • NH RA
    APPROVED
    Since 2023-07-14

Branch Locations

91 Longwater Circle Ste 300, Norwell, MA 02061 • 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
Citizens Securities, Inc. Hingham MA 03/2010 07/2023
Wells Fargo Clearing Services, Llc ( Boston MA 07/2023 Present
  • 03/2010 → 07/2023
    Hingham, MA
  • 07/2023 → Present
    Wells Fargo Clearing Services, Llc (
    Boston, MA
Previous Registrations
  • 2010-03-22 → 2023-07-14
    Hingham, MA
    Norwell, MA
    Norwell, MA
    Hingham, MA
    Braintree, MA
    Hingham, MA
    Norwell, MA
    Johnston, RI
    Syracuse, NY
    Johnston, RI
    Marshfield, MA
    Pembroke, MA
    Abington, MA
    Norwell, MA
    Whitman, MA
    Marshfield, MA
    Kingston, MA
    Hanover, MA
  • 2007-10-05 → 2010-04-07
    Investment Professionals, Inc.
    Hingham, MA
    Wareham, MA
    Plymouth, MA
    San Antonio, TX
  • 2005-10-12 → 2007-10-02
    Ifmg Securities, Inc.
    Plymouth, MA
    Wareham, MA
    Plymouth, MA
    Middleboro, MA
    Sandwich, MA
    Plymouth, MA
  • 2004-10-20 → 2005-10-04
    Banc Of America Investment Services, Inc.
    Dorchester, MA
  • 2004-08-19 → 2004-10-20
    Quick & Reilly, Inc.
    Dorchester, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-11
S63 Uniform Securities Agent State Law Examination 1988-08-29
  • S65 Uniform Investment Adviser Law Examination
    2004-08-11
  • S63 Uniform Securities Agent State Law Examination
    1988-08-29

View on SEC IAPD

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