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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 2012-07-12
WA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2012-07-12
  • WA RA
    APPROVED
    Since 2011-01-03

Branch Locations

555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • United States

205 108Th Ave Ne 6Th Fl, Bellevue, WA 98004 • United States

Mercer Island, WA • 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
Wells Fargo Advisors Llc Seattle WA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 Present
Previous Registrations
  • 2008-08-11 → 2011-01-03
    Wells Fargo Investments, Llc
    Seattle, WA
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-09
S63 Uniform Securities Agent State Law Examination 1992-01-31
  • S66 Uniform Combined State Law Examination
    2008-08-09
  • S63 Uniform Securities Agent State Law Examination
    1992-01-31
Other Names
  • Dana Marie Duke
  • Dana Marie Duke
  • Dana M Duke-Williams

View on SEC IAPD

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