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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
NJ RA APPROVED 2025-09-08
  • NJ RA
    APPROVED
    Since 2025-09-08

Branch Locations

331 Newman Springs Rd Bldg 2 2Nd Fl Ste 221 [J4-Rbo], Red Bank, NJ 07701 • 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
OrganizationCityStateFromTo
National Planning Corporation Moorestown NJ 01/2009 09/2017
Royal Alliance Moorestown NJ 09/2017 07/2021
Gwn Securities, Inc. Palm Beach Gardens FL 08/2021 08/2023
The Prudential Insurance Company Of America East Brunswick NJ 08/2023 11/2024
Pruco Securities Llc East Brunswick NJ 08/2023 11/2024
Lpl Enterprise, Llc East Brunswick NJ 11/2024 08/2025
Wells Fargo Clearing Services, Llc Oakhurst NJ 09/2025 Present
Previous Registrations
  • 2024-11-14 → 2025-09-10
    Holmdel, NJ
    Holmdel, NJ
  • 2023-08-29 → 2024-11-14
    East Brunswick, NJ
    Marlton, NJ
  • 2021-08-17 → 2023-08-29
    Palm Beach Gardens, FL
    Bridgewater, NJ
    Palm Beach Gardens, FL
  • 2017-09-25 → 2021-08-18
    Ocean City, NJ
    Holmdel, NJ
    Holmdel, NJ
  • 2011-02-24 → 2017-09-27
    National Planning Corporation
    Moorestown, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-31
S63 Uniform Securities Agent State Law Examination 2009-04-28
  • S65 Uniform Investment Adviser Law Examination
    2009-12-31
  • S63 Uniform Securities Agent State Law Examination
    2009-04-28

View on SEC IAPD

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