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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
OH RA APPROVED 2015-10-05
  • OH RA
    APPROVED
    Since 2015-10-05

Branch Locations

950 Main Ave Ste 300 [Gu-Rbo], Cleveland, OH 44113 • United States

3800 Embassy Pkwy Ste 380, Akron, OH 44333 • United States

30050 Chagrin Blvd Ste 150, Pepper Pike, OH 44124 • United States

226 Crocker Park Blvd Ste 200, Westlake, OH 44145 • United States

950 Main Ave Ste 300, Cleveland, OH 44113 • United States

380 Polaris Pkwy Ste 250, Westerville, OH 43082 • 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 Columbus OH 10/2015 11/2016
Wells Fargo Clearing Services, Llc Columbus OH 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2015-10-14
    Cincinnati, OH
    Cincinnati, OH
    Pittsburgh, PA
    Dublin, OH
    Columbus, OH
  • 2004-10-04 → 2009-06-01
    Cincinnati, OH
    Cincinnati, OH
  • 2003-06-30 → 2004-10-08
    Keybanc Capital Markets Inc.
    Cincinnati, OH
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-24
S63 Uniform Securities Agent State Law Examination 1997-10-15
  • S65 Uniform Investment Adviser Law Examination
    1997-10-24
  • S63 Uniform Securities Agent State Law Examination
    1997-10-15

View on SEC IAPD

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