William Ward Allen

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-27
TX	RA	APPROVED_RES	2016-03-16
NC	RA	APPROVED	2013-10-31

NY RA
APPROVED

Since 2021-07-27
TX RA
APPROVED_RES

Since 2016-03-16
NC RA
APPROVED

Since 2013-10-31

Branch Locations

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States

535 Madison Ave 16Th Fl, New York, NY 10022 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Raleigh	NC	10/2013	11/2016
Wells Fargo Clearing Services, Llc	Raleigh	NC	11/2016	Present

10/2013 → 11/2016

Wells Fargo Advisors Llc

Raleigh, NC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Raleigh, NC

Previous Registrations

2013-02-13 → 2013-11-06

Raymond James & Associates, Inc.

Raleigh, NC
2010-04-06 → 2013-02-13

Morgan Keegan & Company, Llc

Raleigh, NC
2006-02-27 → 2009-07-06

First Citizens Investor Services, Inc.

Raleigh, NC
2004-08-09 → 2006-02-23

Northwestern Mutual Investment Services, Llc

Raleigh, NC
2002-10-16 → 2004-06-03

Davenport & Company Llc

Raleigh, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-01-23

S66 Uniform Combined State Law Examination

2002-01-23

Other Names

Bill Allen

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews