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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 2024-06-21
SC RA APPROVED 2023-11-28
TX RA APPROVED 2023-11-28
  • GA RA
    APPROVED
    Since 2024-06-21
  • SC RA
    APPROVED
    Since 2023-11-28
  • TX RA
    APPROVED
    Since 2023-11-28

Branch Locations

320 Broad St, Charleston, SC 29401 • United States

320 Broad St 4Th Fl [Rbo], Charleston, SC 29401 • 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
Invest Financial Corp. Tampa FL 01/2016 04/2018
Queensborough National Bank Savannah GA 08/2017 04/2018
Lpl Financial Llc Waynesboro GA 02/2018 04/2018
American General Life Insurance Brentwood TN 04/2018 04/2021
Aig Capital Services, Inc. Brentwood TN 04/2018 04/2021
Principal Life Insurance Company Savannah GA 04/2021 11/2023
Principal Securities Inc Savannah GA 04/2021 Present
Wells Fargo Clearing Services, Llc Charleston SC 11/2023 Present
  • 01/2016 → 04/2018
    Invest Financial Corp.
    Tampa, FL
  • 08/2017 → 04/2018
    Queensborough National Bank
    Savannah, GA
  • 02/2018 → 04/2018
    Waynesboro, GA
  • 04/2018 → 04/2021
    American General Life Insurance
    Brentwood, TN
  • 04/2018 → 04/2021
    Aig Capital Services, Inc.
    Brentwood, TN
  • 04/2021 → 11/2023
    Principal Life Insurance Company
    Savannah, GA
  • 04/2021 → Present
    Savannah, GA
  • 11/2023 → Present
    Charleston, SC
Previous Registrations
  • 2021-05-03 → 2023-11-17
    Savannah, GA
    Atlanta, GA
    Savannah, GA
  • 2018-02-14 → 2018-05-07
    Waynesboro, GA
    Augusta, GA
    Augusta, GA
    Statesboro, GA
    Savannah, GA
    Savannah, GA
    Rincon, GA
    Savannah, GA
    Augusta, GA
    Augusta, GA
  • 2016-01-07 → 2018-02-14
    Invest Financial Corporation
    Statesboro, GA
    Savannah, GA
    Duluth, GA
    Savannah, GA
    Savannah, GA
    Rincon, GA
    Savannah, GA
    Waynesboro, GA
    Augusta, GA
    Augusta, GA
    Appleton, WI
    Augusta, GA
    Augusta, GA
  • 2007-02-01 → 2016-01-22
    Savannah, GA
    Savannah, GA
Other Businesses

RENTAL PROPERTY, INV RELATED, SAVANNAH, GA, 100% OWNERSHIP WITH SPOUSE, START 5/1/2018, 4 HOURS PER MONTH, 2 HOURS DURING TRADING, WORKING WITH PROPERTY MANAGEMENT COMPANY. HAYNERS CREEK, NOT INVT RELATED, SAVANNAH, GA, MUSICIAN, START DATE 12/9/2023, 12 HRS PER MONTH, 0 HRS DURING TRADING, MUSICIAN IN A BAND. ADMINISTRATOR FOR MOTHER, INVT RELATED, SAVANNAH, GA, START DATE 7/1/2021, 1 HR PER MONTH AND 0 DURING TRADING. BENEDICTINE MILITARY SCHOOL; NOT INV RELATED; SAVANNAH, GA; PART TIME TICKET TAKER; START 08/02/2024; 12 HOURS PER MONTH; 0 HOURS DURING TRADING; PART TIME TICKET TAKER. MAGNETIC MARYS; NOT INV RELATED; SAVANNAH, GA; BASS PLAYER; START 08/14/2024; 12 HOURS PER MONTH; 0 HOURS DURING TRADING; BASS PLAYER. | THE MARSH TACKIES; NOT INVESTMENT RELATED; SAVANNAH, GA; BASS PLAYER; 02/07/2025; 10 HOURS PER MONTH; NO HOURS DURING TRADING HOURS; PLAYING FOR A LOCAL COVER BAND MASSACHUSETTS MUTUAL LIFE INSURANCE CO; INVESTMENT RELATED; SPRINGFIELD, MA; INSURANCE; TRAIL COMMISSIONS; START DATE 6/22/21; 3 HOURS DURING TRADING; INSURANCE BROKER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-04-29
S63 Uniform Securities Agent State Law Examination 2001-09-21
  • S65 Uniform Investment Adviser Law Examination
    2003-04-29
  • S63 Uniform Securities Agent State Law Examination
    2001-09-21
Designations
Other Names
  • Sam Crossley

View on SEC IAPD

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