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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
NC RA APPROVED 2006-03-24
  • NC RA
    APPROVED
    Since 2006-03-24

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

1220 Environ Way Ste 1220, Chapel Hill, NC 27517 • 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
Wachovia Bank, N.A. Durham NC 06/2002 Present
Wells Fargo Advisors Llc Durham NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Durham NC 11/2016 Present
  • 06/2002 → Present
    Wachovia Bank, N.A.
    Durham, NC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Durham, NC
  • 11/2016 → Present
    Durham, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-14
S63 Uniform Securities Agent State Law Examination 2002-02-09
  • S66 Uniform Combined State Law Examination
    2006-03-14
  • S63 Uniform Securities Agent State Law Examination
    2002-02-09

View on SEC IAPD

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