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Bret Dale Farrington

Wells Fargo Clearing Services, LLC

Bloomington, MN

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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 2015-02-12
MN RA APPROVED 2013-11-18
WI RA APPROVED 2013-03-04
  • TX RA
    APPROVED
    Since 2015-02-12
  • MN RA
    APPROVED
    Since 2013-11-18
  • WI RA
    APPROVED
    Since 2013-03-04

Branch Locations

7900 Xerxes Ave S 10Th Fl [Gg-Rbo], Bloomington, MN 55431 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Minneapolis MN 03/2013 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 Present
Previous Registrations
  • 2008-10-01 → 2012-05-15
    J.P. Morgan Securities Llc
    Minneapolis, MN
  • 2007-12-11 → 2008-10-01
    J.P. Morgan Securities Inc.
    Minneapolis, MN
  • 2002-11-13 → 2004-12-31
    Piper Sandler & Co.
    Minneapolis, MN
  • 2002-11-13 → 2002-12-09
    The Family Office Of U.S. Bancorp Piper Jaffray Llc.
    Minneapolis, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-07
S65 Uniform Investment Adviser Law Examination 2002-10-28
S63 Uniform Securities Agent State Law Examination 1996-11-20
  • S66 Uniform Combined State Law Examination
    2007-12-07
  • S65 Uniform Investment Adviser Law Examination
    2002-10-28
  • S63 Uniform Securities Agent State Law Examination
    1996-11-20

View on SEC IAPD

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Other Offices

PETROS FAMILY WEALTH, LLC · BLOOMINGTON, MN
JNBA FINANCIAL ADVISORS, LLC · BLOOMINGTON, MN
DEVENIR INVESTMENT ADVISORS, LLC · BLOOMINGTON, MN
REDHAWK WEALTH ADVISORS, INC. · MINNEAPOLIS, MN
WELLS FARGO CLEARING SERVICES, LLC · BLOOMINGTON, MN
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