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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
OH RA APPROVED 2000-01-04
  • OH RA
    APPROVED
    Since 2000-01-04

Branch Locations

3731 Boardman-Canfield Rd Ste C, Canfield, OH 44406 • 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 Canfield OH 05/2009 11/2016
Wells Fargo Clearing Services, Llc Canfield OH 11/2016 Present
Other Businesses

OIL & GAS ROYALTY INCOME, NOT INV RELATED, NEW MARTINSVILLE, WV, 50% OWNER, START: 6/2010, 0 HOURS, NO DUTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-25
S63 Uniform Securities Agent State Law Examination 1989-02-15
  • S65 Uniform Investment Adviser Law Examination
    1994-04-25
  • S63 Uniform Securities Agent State Law Examination
    1989-02-15

View on SEC IAPD

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