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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
TX RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2011-01-03

Branch Locations

813 W Montgomery St Ste 100, Willis, TX 77378 • United States

1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • United States

8808 Spring Cypress Rd, Spring, TX 77379 • 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 Spring TX 01/2011 11/2016
Wells Fargo Clearing Services, Llc Spring TX 11/2016 Present
Previous Registrations
  • 2008-02-12 → 2011-01-03
    Wells Fargo Investments, Llc
    The Woodlands, TX
    Humble, TX
    New Caney, TX
    Huffman, TX
    Conroe, TX
    Willis, TX
    Houston, TX
    Spring, TX
    Houston, TX
    Houston, TX
    Houston, TX
Other Businesses

GRAY SHADOW, LLC DBA SHOOT-IST; NON INVESTMENT RELATED; SPRING, TX; 100% OWNERSHIP; START 4/12; 4 HRS PER MONTH 0 DURING TRADING; SALES AND TRANSFERS OF FIREARMS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-04
S63 Uniform Securities Agent State Law Examination 2005-02-04
  • S65 Uniform Investment Adviser Law Examination
    2008-02-04
  • S63 Uniform Securities Agent State Law Examination
    2005-02-04
Other Names
  • Shane Hicks

View on SEC IAPD

Other Firms

Other Investors

Other Offices

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