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Richard Pimentel

Wells Fargo Clearing Services, LLC

New York, NY

Tarpon Springs, FL

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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
NJ RA APPROVED 2019-12-23
  • NJ RA
    APPROVED
    Since 2019-12-23

Branch Locations

1211 Ave Of The Americas 27Th Fl, New York, NY 10036 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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 White Plains NY 01/2011 11/2016
Wachovia Bank, N.A. White Plains NY 11/2010 Present
Wells Fargo Clearing Services, Llc White Plains NY 11/2016 Present
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    White Plains, NY
  • 11/2010 → Present
    Wachovia Bank, N.A.
    White Plains, NY
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    White Plains, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-20
S63 Uniform Securities Agent State Law Examination 2002-05-16
  • S66 Uniform Combined State Law Examination
    2019-12-20
  • S63 Uniform Securities Agent State Law Examination
    2002-05-16

View on SEC IAPD

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