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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
VA RA APPROVED 2008-01-01
  • VA RA
    APPROVED
    Since 2008-01-01

Branch Locations

999 Waterside Dr Ste 1800 Dominion Tower, Norfolk, VA 23510 • 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 Norfolk VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Norfolk VA 11/2016 Present
Previous Registrations
  • 2002-08-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Norfolk, VA
    Norfolk, VA
    St. Louis, MO
Other Businesses

ST. BRIDE'S CHURCH; INVESTMENT RELATED; CHESAPEAKE,VA; TREASURER AND FINANCE COMMITTEE CHAIRMAN; START DATE 10/02/2014; NUMBER OF HOURS PER MONTH 2; NUBMER OF HOURS DURING TRADING 0; PRESENTING THE MONTHLY CASH FLOWS AND BALANCES, DIRECTING THE PREPERATION OF THE ANNUAL BUDGET, AND REVIEWING THE BUDGET.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-08-07
S63 Uniform Securities Agent State Law Examination 1989-11-02
  • S66 Uniform Combined State Law Examination
    2002-08-07
  • S63 Uniform Securities Agent State Law Examination
    1989-11-02

View on SEC IAPD

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