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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
NC RA APPROVED 2024-04-12
  • NC RA
    APPROVED
    Since 2024-04-12

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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
Cohesive Management Solutions Charlotte NC 09/2005 03/2018
Wells Fargo Advisors Llc Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 03/2021
Morgan Stanley Winston-Salem NC 04/2021 04/2024
Pivott Transport, Llc Charlotte NC 03/2018 04/2021
Wells Fargo Clearing Services, Llc Charlotte NC 04/2024 Present
Previous Registrations
Other Businesses

COHESIVE MANAGEMENT SOLUTIONS, LLC; INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START: 12/01, 2004, 40 HRS/MONTH, 0 HRS DURING TRADING, MANAGE REAL ESTATE.; PIVOTT TRANSPORT, LLC, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START: 5/15/2018, 10 HOURS A MONTH, 0 HOURS DURING TRADING, TRANSPORTATION SERVICES.; RENTAL PROPERTY, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START: 2/1/2008, 1 HOUR A MONTH, 0 HOURS DURING TRADING, RESIDENTIAL RENTAL.; RENTAL PROPERTY, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START: 9/06/2006, 1 HOUR A MONTH, 0 HOURS DURING TRADING, RESIDENTIAL RENTAL.; RENTAL PROPERTY, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP, START: 12/23/2004, 1 HOUR A MONTH, 0 HOURS DURING TRADING, RESIDENTIAL RENTAL.; RENTAL PROPERTY, INV RELATED, WHITEVILLE, NC, 100% OWNERSHIP, START: 06/02/2008, 1 HOUR A MONTH, 0 HOURS DURING TRADING, RESIDENTIAL RENTAL.; POWER OF ATTORNEY FOR MOTHER, INV RELATED, CHARLOTTE, NC, START: 11/26/2020, 0 HOURS A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-28
S63 Uniform Securities Agent State Law Examination 2001-03-23
  • S65 Uniform Investment Adviser Law Examination
    2001-08-28
  • S63 Uniform Securities Agent State Law Examination
    2001-03-23
Designations
Other Names
  • Johnathan Curtis Shaw

View on SEC IAPD

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