Richard Alan Palhegyi

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
GA	RA	APPROVED	2007-12-14

GA RA
APPROVED

Since 2007-12-14

Branch Locations

3280 Peachtree Rd Ne 4Th Fl [G4-Rbo], Atlanta, GA 30305 • United States

Woodstock, GA • 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 No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

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

05/2009 → 11/2016

Wells Fargo Advisors Llc

Atlanta, GA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Atlanta, GA

Previous Registrations

2002-07-01 → 2007-11-27

Banc Of America Investment Services, Inc.

Marietta, GA

Marietta, GA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-06-28
S63	Uniform Securities Agent State Law Examination	1990-02-23

S65 Uniform Investment Adviser Law Examination

2002-06-28
S63 Uniform Securities Agent State Law Examination

1990-02-23

Other Names

Rick Palhegyi
Richard A Palhegyi

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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