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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
GA RA APPROVED 2007-03-09
  • GA RA
    APPROVED
    Since 2007-03-09

Branch Locations

10825 Alpharetta Hwy 3Rd Fl, Roswell, GA 30076 • United States

3280 Peachtree Rd Ne 4Th Fl [G4-Rbo], Atlanta, GA 30305 • 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
Various Insurance Carriers Hephzibah GA 07/2003 Present
Wells Fargo Advisors Llc Atlanta GA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 Present
  • 07/2003 → Present
    Various Insurance Carriers
    Hephzibah, GA
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Atlanta, GA
  • 11/2016 → Present
    Atlanta, GA
Previous Registrations
  • 2003-09-15 → 2004-04-26
    Waddell & Reed
    Columbia, SC
Other Businesses

HENRY BAILEY SOLUTIONS, LLC; NOT INVESTMENT RELATED; ROSWELL,GA; 100% OWNERSHIP; START DATE 06/01/2024; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; LAWN SERVICE CO.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-11
S66 Uniform Combined State Law Examination 2003-09-13
  • S65 Uniform Investment Adviser Law Examination
    2008-06-11
  • S66 Uniform Combined State Law Examination
    2003-09-13

View on SEC IAPD

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