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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
AK RA APPROVED 2021-04-16
TX RA APPROVED 2020-11-09
WA RA APPROVED 2007-11-02
  • AK RA
    APPROVED
    Since 2021-04-16
  • TX RA
    APPROVED
    Since 2020-11-09
  • WA RA
    APPROVED
    Since 2007-11-02

Branch Locations

23 Bellwether Way Ste 200, Bellingham, WA 98225 • United States

301 W Northern Lights Blvd Ste 501, Anchorage, AK 99503 • 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 Bellingham WA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bellingham WA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-27
S63 Uniform Securities Agent State Law Examination 1999-09-04
  • S65 Uniform Investment Adviser Law Examination
    1999-09-27
  • S63 Uniform Securities Agent State Law Examination
    1999-09-04
Designations
Other Names
  • Winney Thomas
  • Karen Lee Thomas

View on SEC IAPD

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