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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 2018-07-30
NJ RA APPROVED 2012-05-23
  • TX RA
    APPROVED
    Since 2018-07-30
  • NJ RA
    APPROVED
    Since 2012-05-23

Branch Locations

51 John F Kennedy Pkwy 5Th Fl Office Center At Short Hills, Short Hills, NJ 07078 • 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 Short Hills NJ 05/2012 11/2016
Wells Fargo Clearing Services, Llc Short Hills NJ 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-12
S63 Uniform Securities Agent State Law Examination 1989-09-21
  • S66 Uniform Combined State Law Examination
    2002-06-12
  • S63 Uniform Securities Agent State Law Examination
    1989-09-21
Designations

View on SEC IAPD

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