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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
TX RA APPROVED_RES 2021-04-14
CA RA APPROVED 2011-01-03
MI RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2021-04-14
  • CA RA
    APPROVED
    Since 2011-01-03
  • MI RA
    APPROVED
    Since 2011-01-03

Branch Locations

146 Monroe Center St Nw Ste 1000, Grand Rapids, MI 49503 • United States

2025 E Beltline Se, Ste 501 [Kq-Rbo], Grand Rapids, MI 49546 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Grand Rapids MI 01/2011 11/2016
Wells Fargo Clearing Services, Llc Grand Rapids MI 11/2016 Present
Previous Registrations
  • 2006-09-13 → 2011-01-03
    Wells Fargo Investments, Llc
    Grand Rapids, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-03-30
S63 Uniform Securities Agent State Law Examination 1988-10-27
  • S65 Uniform Investment Adviser Law Examination
    2005-03-30
  • S63 Uniform Securities Agent State Law Examination
    1988-10-27

View on SEC IAPD

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