John Richard Germany

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2019-02-15
CA	RA	APPROVED	2011-01-03

TX RA
APPROVED

Since 2019-02-15
CA RA
APPROVED

Since 2011-01-03

Branch Locations

400 Capitol Mall Ste 1700 [Kd-Rbo], Sacramento, CA 95814 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Woodland/Davis	CA	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Woodland/Davis	CA	11/2016	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Woodland/Davis, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Woodland/Davis, CA

Previous Registrations

2004-08-12 → 2011-01-03

Wells Fargo Investments, Llc

Sacramento, CA

Tracy, CA

Sacramento, CA

Colusa, CA

Davis, CA

Sacramento, CA

Woodland, CA

Colusa, CA
2002-10-29 → 2003-09-22

E*Trade Advisory Services, Inc.

Rancho Cordova, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-04-19
S63	Uniform Securities Agent State Law Examination	2001-03-16

S65 Uniform Investment Adviser Law Examination

2002-04-19
S63 Uniform Securities Agent State Law Examination

2001-03-16

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews