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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 2020-12-08
NJ RA APPROVED 2019-01-08
  • NY RA
    APPROVED
    Since 2021-07-27
  • TX RA
    APPROVED
    Since 2020-12-08
  • NJ RA
    APPROVED
    Since 2019-01-08

Branch Locations

280 Park Ave 27Th & 29Th Fls, New York, NY 10017 • United States

Franklin Lakes, NJ • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Short Hills NJ 04/2013 01/2019
Bank Of America, N.A. Short Hills NJ 06/2013 01/2019
Wells Fargo Clearing Services Llc White Plains NY 01/2019 Present
Previous Registrations
Other Businesses

PAST PLUTO HOLDINGS LLC; INVESTMENT RELATED; FRANKLIN LAKES, NJ; 99% OWNERSHIP; START 1/1/2015; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; RECONCILING THE CHECKING ACCOUNT AND ACCOUNTING. STIRLING SERVICE LLC; NOT INVESTMENT RELATED; FRANKLIN LAKES,NJ; 99% OWNERSHIP; START 1/1/2015; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; RECONCILING THE BOOKS. TBS HOLDINGS LLC DBA THE BAGEL SHOP; NOT INVESTMENT RELATED; HASBROUCK HEIGHTS,NJ; 99% OWNERSHIP; START 1/1/2015; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; RECONCILING BOOKS. TRUSTEE FOR AUNT'S TRUST; INV. RELATED; NEW YORK, NY; START 2/2020; 0 HRS PER MONTH. UVA HOLDINGS LLC, INV RELATED, FRANKLIN LAKES, NJ, 100% OWNERSHIP WITH SPOUSE, START 5/1/2015, ZERO HOURS PER MONTH, ZERO DURING TRADING, HOLDING LLC FOR TBS HOLDINGS LLC AND LACS ASSOCIATES LLC. LACS ASSOCIATES LLC, INV RELATED, HASBROUCK HEIGHTS, NJ, 25% OWNERSHIP, START 1/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING, TO PURCHASE AND RENT REAL ESTATE. COMMERCIAL RENTAL PROPERTY, INV RELATED, HASBROUCK HEIGHTS, NJ, 25% OWNERSHIP, START 11/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING. RENTAL PROPERTY, INV RELATED, HASBROUCK HEIGHTS, NJ, 25% OWNERSHIP, START 11/1/2014, ZERO HOURS PER MONTH, ZERO DURING TRADING. STIRLING HOLDINGS LLC, INV RELATED, FRANKLIN LAKES, NJ, 100% OWNERHSIP, START 6/29/2020, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD PRIVATE INVESTMENTS. RENTAL PROPERTY, INV RELATED, HASBROUCK HEIGHTS, NJ, 100% OWNERSHIP, START 5/20/2005, ZERO HOURS PER MONTH, ZERO DURING TRADING, PROPERTY RENTED TO BAGEL SHOP UNDER PAST PLUTO HOLDINGS. BALLER TECHNOLOGIES LLC; INV RELATED;FRANKLIN LAKES,NJ; SPORTS TRAINING;100% OWNERSHIP; START DATE: 04/20/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING; MINT BROS LLC ; INV RELATED;FRANKLIN LAKES,NJ; SPORT COLLECTIBLES ;100% OWNERSHIP; START DATE: 04/20/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-24
  • S66 Uniform Combined State Law Examination
    2004-05-24

View on SEC IAPD

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