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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
PA RA APPROVED 2002-11-04
  • PA RA
    APPROVED
    Since 2002-11-04

Branch Locations

50 E Wynnewood Rd, Wynnewood, PA 19096 • United States

150 N Radnor Chester Rd Ste A-100 [L5-Rbo], Radnor, PA 19087 • 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 Devon PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Devon PA 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-22
S63 Uniform Securities Agent State Law Examination 2000-12-08
  • S65 Uniform Investment Adviser Law Examination
    2000-12-22
  • S63 Uniform Securities Agent State Law Examination
    2000-12-08

View on SEC IAPD

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