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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
IL RA APPROVED 2018-05-25
TX RA APPROVED 2018-05-25
  • IL RA
    APPROVED
    Since 2018-05-25
  • TX RA
    APPROVED
    Since 2018-05-25

Branch Locations

1515 W 22Nd St Ste 700, Oak Brook, IL 60523 • United States

Elmhurst, IL • 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
Ubs Financial Services Inc Oakbrook Terrace IL 01/2009 05/2018
Wells Fargo Clearing Services Llc Oak Brook IL 05/2018 Present
Previous Registrations
Other Businesses

RMJD PARTNERSHIP, INVT RELATED, ELMHURST, IL, 25% OWNERSHIP, START DATE 1/1/1995 INHERITED, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES, PASSIVE TIMESHARE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-30
S63 Uniform Securities Agent State Law Examination 1997-09-22
  • S65 Uniform Investment Adviser Law Examination
    1997-09-30
  • S63 Uniform Securities Agent State Law Examination
    1997-09-22
Other Names
  • David Daniel Arquilla

View on SEC IAPD

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