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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_RES 2025-10-10
NY RA APPROVED 2021-07-27
CA RA APPROVED 2018-01-05
  • TX RA
    APPROVED_RES
    Since 2025-10-10
  • NY RA
    APPROVED
    Since 2021-07-27
  • CA RA
    APPROVED
    Since 2018-01-05

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • 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 Clearing Services Llc White Plains NY 01/2018 Present
Citigroup Global Markets Inc. Eastchester NY 05/2007 01/2018
Previous Registrations
  • 2007-05-29 → 2018-02-01
    Bedford Village, NY
    Long Island City, NY
    Westlake Village, CA
    New City, NY
    Boca Raton, FL
    Stamford, CT
    Scarsdale, NY
    New York, NY
    Scarsdale, NY
    Westlake Village, CA
    Armonk, NY
    Gloucester, VA
  • 2005-05-06 → 2007-05-29
    Citicorp Investment Services
    Armonk, NY
    Armonk, NY
Other Businesses

105 PARK PLACE LLC, NOT INV RELATED, SCHENECTADY, NY, 50% OWNERSHIP, START 6/15/2012, ZERO HOURS PER MONTH, ZERO DURING TRADING, SILENT PARTNER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-09-26
S63 Uniform Securities Agent State Law Examination 2000-09-20
  • S65 Uniform Investment Adviser Law Examination
    2000-09-26
  • S63 Uniform Securities Agent State Law Examination
    2000-09-20

View on SEC IAPD

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