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Sherri Huber Phillips

Wells Fargo Clearing Services, LLC

Warrenton, VA

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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 2012-12-11
VA RA APPROVED 2012-12-11
  • TX RA
    APPROVED
    Since 2012-12-11
  • VA RA
    APPROVED
    Since 2012-12-11

Branch Locations

70 Main St Ste 31, Warrenton, VA 20186 • 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
Wells Fargo Advisors Llc Warrenton VA 12/2012 11/2016
Wells Fargo Clearing Services, Llc Warrenton VA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2013-01-04
    Morgan Stanley
    Gainesville, VA
    Leesburg, VA
  • 2007-10-26 → 2009-06-01
    Citigroup Global Markets Inc.
    Gainesville, VA
  • 2004-10-26 → 2005-06-15
    Metlife Investment Fund Services Llc
    Columbia, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-12-16
S65 Uniform Investment Adviser Law Examination 1995-09-15
S63 Uniform Securities Agent State Law Examination 1989-09-15
  • S66 Uniform Combined State Law Examination
    2008-12-16
  • S65 Uniform Investment Adviser Law Examination
    1995-09-15
  • S63 Uniform Securities Agent State Law Examination
    1989-09-15
Other Names
  • Sherri Huber
  • Sherri Darlene Huber

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
FOUNDERS FINANCIAL SECURITIES LLC
EDWARD JONES
CETERA INVESTMENT ADVISERS LLC
THRIVENT INVESTMENT MANAGEMENT INC.
AMERIPRISE FINANCIAL SERVICES, LLC
EQUITY SERVICES, INC.
MERIDIAN FINANCIAL PARTNERS LLC

Other Investors

RICHARD GLENN ALBERT
APRIL SPITTLE BLAKE
Jessica Ashby
Jeremy Noel
ISAAC KWAKU COBBINAH
DENNIS JOSEPH DONOVAN
JAMES EVERETT TOBIAS
Kevin Hook

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Warrenton, VA
FOUNDERS FINANCIAL SECURITIES LLC · Warrenton, VA
EDWARD JONES · Warrenton, VA
WELLS FARGO CLEARING SERVICES, LLC · WARRENTON, VA
CETERA INVESTMENT ADVISERS LLC · WARRENTON, VA
THRIVENT INVESTMENT MANAGEMENT INC. · Warrenton, VA
AMERIPRISE FINANCIAL SERVICES, LLC · Warrenton, VA
CETERA INVESTMENT ADVISERS LLC · WARRENTON, VA

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