Carlotta H Black

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
DE	RA	APPROVED	2019-07-25
TX	RA	APPROVED_RES	2011-03-08
WV	RA	APPROVED	2003-07-01

DE RA
APPROVED

Since 2019-07-25
TX RA
APPROVED_RES

Since 2011-03-08
WV RA
APPROVED

Since 2003-07-01

Branch Locations

500 Lee St Ste 401 Laidley Tower, Charleston, WV 25301 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Charleston	WV	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Charleston	WV	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Charleston, WV
11/2016 → Present

Wells Fargo Clearing Services, Llc

Charleston, WV

Previous Registrations

2002-06-24 → 2003-07-01

Prudential Equity Group, Llc

Charleston, WV

Other Businesses

AAA TROPHY, NOT INV RELATED, S. CHARLESTON, WV, 50% OWNERSHIP BY SPOUSE, START 10/20/2011, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, SPOUSES TROPHY BUSINESS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-08-20
S63	Uniform Securities Agent State Law Examination	1991-10-18

S65 Uniform Investment Adviser Law Examination

1998-08-20
S63 Uniform Securities Agent State Law Examination

1991-10-18

Other Names

Carlotta Black
\Carlotta Humphries
Carlotta Humphreys
Carlotta Black

View on SEC IAPD