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Heather Alicia Shaeffer

Wells Fargo Clearing Services, LLC

Birmingham, AL

Daphne, AL

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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
AL RA APPROVED 2019-03-06
  • AL RA
    APPROVED
    Since 2019-03-06

Branch Locations

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States

2535 Us Hwy 98, Daphne, AL 36526 • 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
Frances Holk-Jones Insurance Agency Foley AL 02/2011 12/2016
State Farm Vp Management Corp. Foley AL 05/2011 12/2016
Pnc Bank Fairhope AL 01/2017 10/2018
Pnc Investments Fairhope AL 01/2017 10/2018
Wells Fargo Clearing Services, Llc. Gulf Shores AL 11/2018 Present
Wells Fargo Bank Na Gulf Shores AL 10/2018 Present
  • 02/2011 → 12/2016
    Frances Holk-Jones Insurance Agency
    Foley, AL
  • 05/2011 → 12/2016
    State Farm Vp Management Corp.
    Foley, AL
  • 01/2017 → 10/2018
    Pnc Bank
    Fairhope, AL
  • 01/2017 → 10/2018
    Pnc Investments
    Fairhope, AL
  • 11/2018 → Present
    Wells Fargo Clearing Services, Llc.
    Gulf Shores, AL
  • 10/2018 → Present
    Wells Fargo Bank Na
    Gulf Shores, AL
Previous Registrations
Other Businesses

POWER OF ATTORNEY FOR SPOUSE; INV. RELATED; FOLEY, AL; START 11/26/2018; 0 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-03-06
S63 Uniform Securities Agent State Law Examination 2008-11-20
  • S65 Uniform Investment Adviser Law Examination
    2019-03-06
  • S63 Uniform Securities Agent State Law Examination
    2008-11-20
Other Names
  • Heather Alicia Sanders
  • Heather Shaeffer
  • Heather Alicia Shaeffer

View on SEC IAPD

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