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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
SC RA APPROVED 2022-06-14
CA RA APPROVED 2011-01-03
  • SC RA
    APPROVED
    Since 2022-06-14
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

15 S Main St 3Rd Fl, Greenville, SC 29601 • United States

Taylors, SC • 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
Wells Fargo Advisors Llc Martinez CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Martinez CA 11/2016 Present
Previous Registrations
  • 2009-08-25 → 2011-01-03
    Wells Fargo Investments, Llc
    Walnut Creek, CA
    Martinez, CA
    Hercules, CA
    Pinole, CA
  • 2008-09-29 → 2009-08-24
    Cetera Investment Services Llc
    Stockton, CA
  • 2002-08-20 → 2004-01-27
    Waddell & Reed
    Lodi, CA
Other Businesses

HAMMOND POINTE HOMEOWNERS ASSOCIATION; NON INV RELATED; TAYLORS, SC; NEIGHBORHOOD OVERSIGHT;BOARD MEMBER; START DATE: 08/31/2025; 3 HRS PER MONTH; 0 HRS DURING TRADING HOURS;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-07-31
  • S66 Uniform Combined State Law Examination
    2008-07-31

View on SEC IAPD

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