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Carroll Mac Wilson

Wells Fargo Clearing Services, LLC

Beverly Hills, CA

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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
CA RA APPROVED 2022-08-19
  • CA RA
    APPROVED
    Since 2022-08-19

Branch Locations

433 N Camden Dr 1St Fl, Beverly Hills, CA 90210 • 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
U.S. Bancorp Investments, Inc. West Los Angeles CA 05/2005 08/2022
Wells Fargo Clearing Services, Llc El Segundo CA 08/2022 Present
Previous Registrations
  • 2006-01-10 → 2022-08-25
    U.S. Bancorp Investments, Inc.
    Los Angeles, CA
    Marina Del Rey, CA
    Los Angeles, CA
    Encino, CA
    Beverly Hills, CA
    Santa Monica, CA
    Los Angeles, CA
    Inglewood, CA
    Los Angeles, CA
    Los Angeles, CA
    Manhattan Beach, CA
    Los Angeles, CA
    Culver City, CA
    Marina Del Rey, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    Marina Del Rey, CA
    Santa Monica, CA
    Marina Del Rey, CA
    Marina Del Rey, CA
    Pacific Palisades, CA
    Los Angeles, CA
    West Los Angeles, CA
    Santa Monica, CA
    Culver City, CA
    West Hollywood, CA
    Inglewood, CA
    Los Angeles, CA
    Inglewood, CA
    Los Angeles, CA
    Inglewood, CA
    Lakewood, CA
    Culver City, CA
    Los Angeles, CA
    Century City, CA
    West Los Angeles, CA
    West Hollywood, CA
    Marina Del Rey, CA
    Los Angeles, CA
    Los Angeles, CA
    Century City, CA
    Los Angeles, CA
    Woodland Hills, CA
    Marina Del Rey, CA
    Los Angeles, CA
    Los Angeles, CA
    West Los Angeles, CA
    Pacific Palisades, CA
    Malibu, CA
    Los Angeles, CA
    Hollywood, CA
    Los Angeles, CA
    Pacific Palisades, CA
    North Hollywood, CA
    West Hollywood, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
    West Los Angeles, CA
    Gardena, CA
    Phoenix, AZ
    Los Angeles, CA
    Beverly Hills, CA
    Marina Del Rey, CA
    Culver City, CA
    Beverly Hills, CA
    Culver City, CA
    Marina Del Rey, CA
    Los Angeles, CA
    West Los Angeles, CA
    Los Angeles, CA
    Hollywood, CA
    Los Angeles, CA
  • 2004-01-20 → 2004-12-04
    Wamu Investments, Inc.
    Los Angeles, CA
  • 2002-03-14 → 2004-01-16
    Ameriprise Financial Services, Llc
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-03-13
S63 Uniform Securities Agent State Law Examination 1996-12-17
  • S65 Uniform Investment Adviser Law Examination
    2002-03-13
  • S63 Uniform Securities Agent State Law Examination
    1996-12-17
Other Names
  • Carroll Wilson
  • Carroll Mac Wilson

View on SEC IAPD

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