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Richard Gerard Carlson

Wells Fargo Clearing Services, LLC

Williamsville, NY

Bluffton, SC

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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
SC RA APPROVED 2024-06-21
TX RA APPROVED_RES 2024-01-31
NY RA APPROVED 2021-07-27
  • SC RA
    APPROVED
    Since 2024-06-21
  • TX RA
    APPROVED_RES
    Since 2024-01-31
  • NY RA
    APPROVED
    Since 2021-07-27

Branch Locations

6390 Main St, Ste 100, Williamsville, NY 14221 • United States

Bluffton, SC • 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 Buffalo NY 05/2020 Present
M&T Securities Clarence NY 07/2004 Present
Previous Registrations
  • 2011-10-13 → 2020-06-08
    M&T Securities, Inc.
    Rochester, NY
    Clarence, NY
    Williamsville, NY
    East Amherst, NY
    Cheektowaga, NY
    Cheektowaga, NY
    Williamsville, NY
    Buffalo, NY
    Cheektowaga, NY
    Buffalo, NY
    Williamsport, PA
    Cheektowaga, NY
    Buffalo, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-15
  • S66 Uniform Combined State Law Examination
    2001-03-15
Other Names
  • Richard Gerrard Carlson

View on SEC IAPD

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