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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
IA RA APPROVED 2015-05-18
TX RA APPROVED 2015-05-15
  • IA RA
    APPROVED
    Since 2015-05-18
  • TX RA
    APPROVED
    Since 2015-05-15

Branch Locations

6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Des Moines IA 05/2015 11/2016
Wells Fargo Clearing Services, Llc Des Moines IA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-03-18
S63 Uniform Securities Agent State Law Examination 2000-10-05
  • S66 Uniform Combined State Law Examination
    2004-03-18
  • S63 Uniform Securities Agent State Law Examination
    2000-10-05
Designations

View on SEC IAPD

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