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Vivian R Schaufler

Wells Fargo Clearing Services, LLC

Melville, NY

New Canaan, CT

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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
CT RA APPROVED 2007-03-13
  • CT RA
    APPROVED
    Since 2007-03-13

Branch Locations

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • United States

152 Main St, New Canaan, CT 06840 • 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. Shelton CT 08/2005 07/2021
Wells Fargo Advisors Llc Westport CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Westport CT 11/2016 Present
  • 08/2005 → 07/2021
    Wachovia Bank, N.A.
    Shelton, CT
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Westport, CT
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Westport, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-12
S63 Uniform Securities Agent State Law Examination 2003-11-22
  • S65 Uniform Investment Adviser Law Examination
    2007-03-12
  • S63 Uniform Securities Agent State Law Examination
    2003-11-22
Other Names
  • Vivian R Todaro

View on SEC IAPD

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