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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
TX RA APPROVED 2003-07-01
  • TX RA
    APPROVED
    Since 2003-07-01

Branch Locations

9442 N Capital Of Texas Hwy N Ste 700 Arboretum Plaza One, Austin, TX 78759 • 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 Austin TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Austin TX 11/2016 Present
Previous Registrations
  • 2003-02-03 → 2003-07-01
    Prudential Equity Group, Llc
    Austin, TX
Other Businesses

JAM 1 LLC, INVESTMENT RELATED, AUSTIN, TX, RENTAL PROPERTY, OWNER, START 8/2009, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: OWNER. JAM-2 LLC; INVESTMENT RELATED; AUSTIN, TX; RENTAL PROPERTY; CO-OWNER; START 12/2011; 10 HRS PER MONTH; 0 HRS DURING TRADING; NONE. JAKAL-1 LLC; INV. RELATED; AUSTIN,TX;RENTAL PROPERTY; 100% OWNERSHIP WITH SPOUSE; START 11/19/2018; NUMBER OF HOURS PER MONTH 5; NUMBER OF HOURS DURING TRADING 0; OWNER OF RENTAL PROPERTY. RENTAL PROPRTY, INVT RELATED, KILLEEN, TX, RENTAL PROPERTY, 50% OWNERSHIP WITH SPOUSE, START 3/27/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY, INVT RELATED, COPPERAS COVE, TX, RENTAL PROPERTY, 50% OWNERSHIP WITH SPOUSE, START 2/26/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNERSHIP. RENTAL PROPERTY, INVT RELATED, AUSTIN, TX, RENTAL PROPERTY, 50% OWNERSHIP WITH SPOUSE, START 1/2/2011, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. RENTAL PROPERTY, INVT RELATED, KILLEEN, TX, 100% OWNERSHIP WITH SPOUSE, START 9/18/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. JAKAL-2,LLC, INVT RELATED, KILLEEN, TX, 100% OWNERSHIP WITH SPOUSE, START 10/2/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. JAKAL-3,LLC, NOT INVT RELATED, HARKER HEIGHTS, TX, 100% OWNERSHIP WITH SPOUSE, START 3/10/2021, 2 HR PER MONTH, 0 HRS DURING TRADING, HOLDS RENTAL PROPERTY. RENTAL PROPERTY; INVESTMENT RELATED; HARKER HEIGHTS,TX; 100% OWNERSHIP; START 3/10/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-01-30
S63 Uniform Securities Agent State Law Examination 2003-01-16
  • S65 Uniform Investment Adviser Law Examination
    2003-01-30
  • S63 Uniform Securities Agent State Law Examination
    2003-01-16
Designations

View on SEC IAPD

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