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Alan Stuart Weintraub

Wells Fargo Clearing Services, LLC

Birmingham, AL

Mountain Brook, AL

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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
AL RA APPROVED 2015-08-26
TX RA APPROVED 2015-08-26
  • AL RA
    APPROVED
    Since 2015-08-26
  • TX RA
    APPROVED
    Since 2015-08-26

Branch Locations

2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States

Mountain Brook, AL • 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 Advisors Llc Birmingham AL 08/2015 11/2016
Wells Fargo Clearing Services, Llc Birmingham AL 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2015-09-09
    Morgan Stanley
    Birmingham, AL
    New Orleans, LA
    Birmingham, AL
    New Orleans, LA
  • 2008-08-22 → 2009-06-01
    Morgan Stanley & Co. Llc
    New Orleans, LA
  • 2005-08-05 → 2008-09-08
    Ubs Financial Services Inc.
    New Orleans, LA
    New Orleans, LA
Other Businesses

STATE BAR OF GEORGIA AND THE STATE BAR OF LOUISIANA; MAINTAIN INACTIVE LICENSE. DO NOT PRACTICE LAW. INACTIVE MEMBER OF THE BAR. 1996

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-06-07
  • S66 Uniform Combined State Law Examination
    2001-06-07

View on SEC IAPD

Other Firms

THRIVENT INVESTMENT MANAGEMENT INC.
PFS INVESTMENTS INC.
PMD ADVISORY
CETERA INVESTMENT ADVISERS LLC
NFSG CORPORATION
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
USA FINANCIAL SECURITIES LLC

Other Investors

THOMAS MICHAEL NOON
Susan Hunter Koski
Luke Banks
David Mathews
MARILYN ANN EDDINGS
JAMES IRA MCCORMICK
MELANIE SHIRLEY DICKINSON
BRENNA ROSE PRITCHETT

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

More in Birmingham, AL

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