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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 2018-08-22
FL RA APPROVED 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2018-08-22
  • FL RA
    APPROVED
    Since 2003-07-01

Branch Locations

1 Independent Dr 24Th Fl, Jacksonville, FL 32202 • 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 Jacksonville FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Jacksonville FL 11/2016 Present
Previous Registrations
  • 2001-06-06 → 2003-07-01
    Prudential Equity Group, Llc
    Jacksonville, FL
Other Businesses

TIMUCUANA HOME OWNER ASSOCIATION; NOT INVESTMENT RELATED; JACKSONVILLE, FL; HOME OWNER ASSOCIATION; TREASURER; START DATE = 6/1/2000; ONE HOUR DEVOTED PER MONTH; NOT DURING TRADING HOURS; DUTIES INCLUDE COLLECTING DUES, PAYING BILLS, RECONCILING BANK STATEMENTS, AND PREPARING THE ANNUAL AUDIT. COIN, STAMP & COLLECTIBLES DEALER, NOT INVESTMENT RELATED, JACKONSVILLE, FL., 100% OWNERSHIP, START: 6/29/15, 20 HOURS/MONTH, 0 DURING TRADING, BUY, SELL AND TRADE COINS, POSTAGE STAMPS BULLION AND COLLECTIBLES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-23
S63 Uniform Securities Agent State Law Examination 2001-06-18
  • S65 Uniform Investment Adviser Law Examination
    2001-07-23
  • S63 Uniform Securities Agent State Law Examination
    2001-06-18
Other Names
  • Charles Randy Thomas
  • Charles Randolph Thomas

View on SEC IAPD

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