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Henry Zee Persons

Wells Fargo Clearing Services, LLC

Chicago, IL

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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
IL RA APPROVED 2022-08-19
  • IL RA
    APPROVED
    Since 2022-08-19

Branch Locations

30 S Wacker Dr 39Th & 40Th Fls, Chicago, IL 60606 • 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
Stifel, Nicolaus & Company, Incorporated St. Louis MO 12/2015 08/2022
Wells Fargo Clearing Services, Llc Chicago IL 08/2022 Present
Previous Registrations
  • 2015-12-04 → 2022-08-19
    Stifel, Nicolaus & Company, Incorporated
    Chicago, IL
    St. Louis, MO
  • 2009-04-17 → 2015-12-04
    Barclays Capital Inc.
    Chicago, IL
  • 2005-08-08 → 2009-04-07
    Deutsche Bank Securities Inc.
    Chicago, IL
    Chicago, IL
  • 2003-01-17 → 2005-08-11
    Credit Suisse Securities (Usa) Llc
    Chicago, IL
  • 2002-01-23 → 2003-01-17
    Pershing Llc
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-11-03
  • S66 Uniform Combined State Law Examination
    2001-11-03

View on SEC IAPD

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GUGGENHEIM INVESTMENTS · CHICAGO, IL
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