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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
TX RA APPROVED_RES 2025-08-31
NJ RA APPROVED 2022-02-04
  • TX RA
    APPROVED_RES
    Since 2025-08-31
  • NJ RA
    APPROVED
    Since 2022-02-04

Branch Locations

1 Maple St, Summit, NJ 07901 • United States

51 John F Kennedy Pkwy 5Th Fl [J1/J2/J5-Rbo], Short Hills, NJ 07078 • 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
J.P. Morgan Securities Llc South Orange NJ 10/2012 02/2022
Wells Fargo Clearing Services, Llc Summit NJ 02/2022 Present
Previous Registrations
  • 2012-10-01 → 2022-02-06
    Union, NJ
    Union, NJ
    South Orange, NJ
    Westfield, NJ
    Westfield, NJ
    Union, NJ
    Westfield, NJ
    Elizabeth, NJ
    Roselle, NJ
    Linden, NJ
    Cranford, NJ
    Westfield, NJ
  • 2011-12-21 → 2012-10-01
    Chase Investment Services Corp.
    South Orange, NJ
    Union, NJ
    Union, NJ
  • 2010-03-31 → 2011-11-09
    Pennington, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-08-05
S65 Uniform Investment Adviser Law Examination 2001-11-13
S63 Uniform Securities Agent State Law Examination 2001-03-16
  • S66 Uniform Combined State Law Examination
    2009-08-05
  • S65 Uniform Investment Adviser Law Examination
    2001-11-13
  • S63 Uniform Securities Agent State Law Examination
    2001-03-16

View on SEC IAPD

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