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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 2020-05-06
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2020-05-06
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

543 S Palm Canyon Dr, Palm Springs, CA 92264 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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 Palm Springs CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Palm Springs CA 11/2016 Present
Previous Registrations
  • 2001-05-15 → 2011-01-03
    Wells Fargo Investments, Llc
    Yucca Valley, CA
    Palm Springs, CA
    Palm Springs, CA
    Palm Springs, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1999-12-13
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1999-12-13
Other Names
  • Ramoran Hughes
  • Mely Hughes

View on SEC IAPD

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