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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
NJ RA APPROVED 2002-07-30
  • NJ RA
    APPROVED
    Since 2002-07-30

Branch Locations

2 S Main St, Lodi, NJ 07644 • United States

358 Market St, Saddle Brook, NJ 07663 • United States

51 John F Kennedy Pkwy 5Th Fl [J1/J2/J5-Rbo], Short Hills, NJ 07078 • United States

459 Lafayette Ave, Hawthorne, NJ 07506 • United States

2011 Lemoine Ave, Fort Lee, NJ 07024 • United States

115 Broadway, Elmwood Park, NJ 07407 • United States

523 State Route 23, Pompton Plains, NJ 07444 • 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 Saddle Brook NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saddle Brook NJ 11/2016 Present
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; CLIFTON, NJ; 100% OWNERSHIP; START DATE 8/1/17; 1 HOUR PER MONTH / 0 DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-31
S63 Uniform Securities Agent State Law Examination 2000-12-05
  • S65 Uniform Investment Adviser Law Examination
    2002-01-31
  • S63 Uniform Securities Agent State Law Examination
    2000-12-05

View on SEC IAPD

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