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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 2019-03-22
  • NC RA
    APPROVED
    Since 2019-03-22

Branch Locations

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

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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. Charlotte NC 12/2008 Present
Wells Fargo Advisors Llc Charlotte NC 11/2010 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
  • 12/2008 → Present
    Wachovia Bank, N.A.
    Charlotte, NC
  • 11/2010 → 11/2016
    Wells Fargo Advisors Llc
    Charlotte, NC
  • 11/2016 → Present
    Charlotte, NC
Previous Registrations
  • 2004-08-16 → 2008-12-12
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-19
  • S66 Uniform Combined State Law Examination
    2019-03-19

View on SEC IAPD

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