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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
NJ RA APPROVED 2011-07-08
  • NJ RA
    APPROVED
    Since 2011-07-08

Branch Locations

767 5Th Ave 33Rd Fl [Y2-Rbo], New York, NY 10153 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

Brooklyn, NY • 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 Bank, N.A. New York NY 06/2011 Present
Wells Fargo Advisors Llc New York NY 06/2011 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
  • 06/2011 → Present
    Wells Fargo Bank, N.A.
    New York, NY
  • 06/2011 → 11/2016
    Wells Fargo Advisors Llc
    New York, NY
  • 11/2016 → Present
    New York, NY
Previous Registrations
  • 2010-04-01 → 2011-06-22
    New York, NY
  • 2007-11-16 → 2008-05-06
    Ubs International Inc.
    New York, NY
    New York, NY
    New York, NY
Other Businesses

EXECUTOR FOR MOTHER'S ESTATE; INV. RELATED; NEW YORK, NY; START DATE 8/2019.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-11-06
S63 Uniform Securities Agent State Law Examination 1999-09-20
  • S66 Uniform Combined State Law Examination
    2007-11-06
  • S63 Uniform Securities Agent State Law Examination
    1999-09-20

View on SEC IAPD

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