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Elizabeth Clifford

Wells Fargo Clearing Services, LLC

St. Louis, MO

Purchase, NY

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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
NY RA APPROVED 2022-11-02
  • NY RA
    APPROVED
    Since 2022-11-02

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • 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
Ubs Financial Services Weehawken NJ 08/2015 09/2022
Wells Fargo Clearing Services New York NY 09/2022 Present
  • 08/2015 → 09/2022
    Ubs Financial Services
    Weehawken, NJ
  • 09/2022 → Present
    Wells Fargo Clearing Services
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-01-09
S66 Uniform Combined State Law Examination 2002-03-09
  • S65 Uniform Investment Adviser Law Examination
    2012-01-09
  • S66 Uniform Combined State Law Examination
    2002-03-09
Other Names
  • Elizabeth Smith Clifford

View on SEC IAPD

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