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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
NY RA APPROVED 2021-10-05
CT RA APPROVED 2002-11-13
  • NY RA
    APPROVED
    Since 2021-10-05
  • CT RA
    APPROVED
    Since 2002-11-13

Branch Locations

2065 Boston Post Rd, Larchmont, NY 10538 • United States

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • 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 Larchmont NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Larchmont NY 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-04
  • S66 Uniform Combined State Law Examination
    2021-10-04

View on SEC IAPD

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