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Carlos Alberto Esteves

Wells Fargo Clearing Services, LLC

Oakhurst, NJ

Hamilton Square, NJ

East Windsor, NJ

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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 2014-12-19
NJ RA APPROVED 2013-02-22
  • TX RA
    APPROVED_RES
    Since 2014-12-19
  • NJ RA
    APPROVED
    Since 2013-02-22

Branch Locations

1600 Highway 35 And Deal Rd [J6/J9-Rbo], Oakhurst, NJ 07755 • United States

1177 Route 33, Hamilton Square, NJ 08690 • United States

29 Princeton Hightstown Rd, East Windsor, NJ 08520 • 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 Advisors, Llc Haddon Township NJ 02/2013 11/2016
Wells Fargo Clearing Services, Llc Haddon Township NJ 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-20
S63 Uniform Securities Agent State Law Examination 1994-03-18
  • S65 Uniform Investment Adviser Law Examination
    1994-10-20
  • S63 Uniform Securities Agent State Law Examination
    1994-03-18
Designations
Other Names
  • Carlos Alberto Esteves
  • Carlos Esteves
  • Carlos A Esteves

View on SEC IAPD

Other Firms

EQUITABLE ADVISORS, LLC
WESTPEAK FINANCIAL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CETERA INVESTMENT ADVISERS LLC
BROOKSTONE WEALTH ADVISORS, LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ROCKDALE FINANCIAL SERVICES, INC.

Other Investors

MARK ALLEN HEREGA
CHRISTOPHER MICHAEL KEEGAN
JAY RAXESHKUMAR SHAH
EUGENE CHO
WILLIAM JAMES BAXTER
JANICE MILARA
THOMAS F SYLVESTRO
ROBIN NICOLE BOLDEN

Other Offices

WELLS FARGO CLEARING SERVICES, LLC · OAKHURST, NJ
WELLS FARGO CLEARING SERVICES, LLC · OAKHURST, NJ
EQUITABLE ADVISORS, LLC · OCEAN, NJ
WESTPEAK FINANCIAL · OCEAN, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OCEAN, NJ
CETERA INVESTMENT ADVISERS LLC · OCEAN, NJ
BROOKSTONE WEALTH ADVISORS, LLC · Wanamassa, NJ
EDWARD JONES · Oakhurst, NJ

More in Oakhurst, NJ

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