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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 2016-05-17
MS RA APPROVED 2013-04-17
AL RA APPROVED 2012-10-15
TN RA APPROVED 2012-09-28
  • TX RA
    APPROVED_RES
    Since 2016-05-17
  • MS RA
    APPROVED
    Since 2013-04-17
  • AL RA
    APPROVED
    Since 2012-10-15
  • TN RA
    APPROVED
    Since 2012-09-28

Branch Locations

6075 Poplar Ave Ste 650, Memphis, TN 38119 • 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 Birmingham AL 09/2012 11/2016
Wells Fargo Clearing Services, Llc Birmingham AL 11/2016 Present
Previous Registrations
  • 2004-07-28 → 2012-10-04
    Morgan Keegan & Company, Llc
    Memphis, TN
    Memphis, TN
    Memphis, TN
  • 2004-01-27 → 2004-08-04
    Union Planters Investment Advisors, Inc.
    Memphis, TN
  • 2002-01-07 → 2003-01-30
    Memphis, TN
Other Businesses

RENTAL PROPERTY; INV. RELATED; GERMANTOWN,TN; 100% OWNERSHIP; START DATE 11/01/2021; NUMBER OF HOURS PER MONTH .1; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-03-23
  • S66 Uniform Combined State Law Examination
    2001-03-23
Other Names
  • Charles E. Durham

View on SEC IAPD

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