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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
NH RA APPROVED 2021-09-29
TX RA APPROVED_RES 2021-09-20
  • NH RA
    APPROVED
    Since 2021-09-29
  • TX RA
    APPROVED_RES
    Since 2021-09-20

Branch Locations

900 Elm St Ste 700, Manchester, NH 03101 • United States

Nashua, NH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Andover MA 04/2013 09/2021
Wells Fargo Clearing Services, Llc Manchester NH 09/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-04-24
S63 Uniform Securities Agent State Law Examination 2000-03-16
  • S66 Uniform Combined State Law Examination
    2003-04-24
  • S63 Uniform Securities Agent State Law Examination
    2000-03-16
Other Names
  • Clifford Spinney

View on SEC IAPD

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