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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
NV RA APPROVED 2011-01-03
  • NV RA
    APPROVED
    Since 2011-01-03

Branch Locations

8474 Rozita Lee Ave Ste 400 [Sd-Rbo], Las Vegas, NV 89113 • United States

112 S Water St, Henderson, NV 89015 • 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 Las Vegas NV 01/2011 11/2016
Wells Fargo Clearing Services, Llc Las Vegas NV 11/2016 Present
Previous Registrations
  • 2004-06-01 → 2011-01-03
    Wells Fargo Investments, Llc
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Henderson, NV
    Henderson, NV
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
  • 2003-04-03 → 2004-06-11
    Las Vegas, NV
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-04
S63 Uniform Securities Agent State Law Examination 1989-12-02
  • S65 Uniform Investment Adviser Law Examination
    1992-04-04
  • S63 Uniform Securities Agent State Law Examination
    1989-12-02

View on SEC IAPD

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