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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
WA RA APPROVED 2011-01-03
  • WA RA
    APPROVED
    Since 2011-01-03

Branch Locations

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • United States

2201 156Th Ave Ne, Bellevue, WA 98007 • 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 Bank Oak Harbor WA 06/2006 Present
Wells Fargo Advisors Llc Seattle WA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 Present
  • 06/2006 → Present
    Wells Fargo Bank
    Oak Harbor, WA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Seattle, WA
  • 11/2016 → Present
    Seattle, WA
Previous Registrations
  • 2006-08-26 → 2011-01-03
    Wells Fargo Investments, Llc
    Oak Harbor, WA
    Anacortes, WA
    Oak Harbor, WA
    Burlington, WA
    Mount Vernon, WA
    Seattle, WA
    Mount Vernon, WA
  • 2002-11-21 → 2005-06-21
    Wells Fargo Investments, Llc
    Everett, WA
Other Businesses

LARKIN PROPERTY HOLDINGS, LLC; INV RELATED; SURPRISE, AZ; 25% OWNER; COMMERCIAL REAL ESTATE; START: 08/24/07; 1 HR/MO; 0 DURING TRADING. | RENTAL PROPERTY 14997; INV RELATED; SURPRSIE, AZ; 25% OWNER; COMMERCIAL REAL ESTATE;' START: 08/24/07; 1 HOUR PER MONTH; 0 DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-04
  • S66 Uniform Combined State Law Examination
    2002-11-04

View on SEC IAPD

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