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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
CT RA APPROVED 2024-05-31
  • CT RA
    APPROVED
    Since 2024-05-31

Branch Locations

667 Connecticut Ave, Norwalk, CT 06854 • United States

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • 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
Charles Schwab Fairfield CT 06/1995 06/2022
Wells Fargo Clearing Services, Llc Norwalk CT 05/2024 Present
Unemployed -Retired Weston CT 06/2022 05/2024
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-05-22
S63 Uniform Securities Agent State Law Examination 1989-10-18
  • S65 Uniform Investment Adviser Law Examination
    1998-05-22
  • S63 Uniform Securities Agent State Law Examination
    1989-10-18

View on SEC IAPD

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