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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
WA RA APPROVED 2008-01-01
  • WA RA
    APPROVED
    Since 2008-01-01

Branch Locations

999 3Rd Ave Ste 4000, Seattle, WA 98104 • United States

Disclosures

3 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 Yes
  • 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 Seattle WA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 Present
Previous Registrations
Other Businesses

SOCKEYE MARINE LLC, NOT INV RELATED, BELLEVUE, WA, 50% OWNERSHIP, START 7/8/2022, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, BOAT OWNERSHIP.| SKI MASTERS-SNOQUALMIE PASS; NOT INV RELATED; SNOQULAMIE PASS, WA; SKI INSTRUCTOR; START DATE 01/10/2025; 8 HOURS PER MONTH; 0 HOURS DURING TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-08-29
  • S63 Uniform Securities Agent State Law Examination
    1988-08-29
Other Names
  • Chris Black

View on SEC IAPD

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