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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
NY RA APPROVED 2021-07-27
TX RA APPROVED_RES 2015-12-16
  • NY RA
    APPROVED
    Since 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2015-12-16

Branch Locations

4370 S Taylor Rd Ste 100, Orchard Park, NY 14127 • United States

6390 Main St, Ste 100, Williamsville, NY 14221 • 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 Orchard Park NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Orchard Park NY 11/2016 Present
Other Businesses

HOLIMONT ALPINE SKI RACING, NOT INV RELATED, ELLICOTTVILLE, NY, SKI COACH, START 12/27/2018, 25 HOURS PER MONTH, ZERO DURING TRADING, COACHING SKI RACERS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-09-23
  • S63 Uniform Securities Agent State Law Examination
    1999-09-23
Other Names
  • Andy Cummings

View on SEC IAPD

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