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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 2024-10-09
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2024-10-09
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

4655 Executive Dr 10Th Fl [Vj-Rbo], San Diego, CA 92121 • 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 San Diego CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 Present
Previous Registrations
  • 2009-03-27 → 2011-01-03
    Wells Fargo Investments, Llc
    San Diego, CA
  • 2006-06-30 → 2009-03-30
    Banc Of America Investment Services, Inc.
    San Diego, CA
    Solana Beach, CA
    San Diego, CA
    San Diego, CA
    San Diego, CA
  • 2001-11-16 → 2006-07-05
    Morgan Stanley Dw Inc.
    Fresno, CA
    Fresno, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-02-02
S65 Uniform Investment Adviser Law Examination 1999-01-26
  • S63 Uniform Securities Agent State Law Examination
    1999-02-02
  • S65 Uniform Investment Adviser Law Examination
    1999-01-26

View on SEC IAPD

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