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Stephen Marc November

Wells Fargo Clearing Services, LLC

Basking Ridge, NJ

Purchase, NY

Naples, FL

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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
NY RA APPROVED 2021-07-27
FL RA APPROVED 2021-03-12
TX RA APPROVED 2015-12-02
NJ RA APPROVED 2005-09-29
  • NY RA
    APPROVED
    Since 2021-07-27
  • FL RA
    APPROVED
    Since 2021-03-12
  • TX RA
    APPROVED
    Since 2015-12-02
  • NJ RA
    APPROVED
    Since 2005-09-29

Branch Locations

Basking Ridge, NJ • United States

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • United States

Naples, FL • 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 White Plains NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc White Plains NY 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-28
S63 Uniform Securities Agent State Law Examination 1996-09-12
  • S65 Uniform Investment Adviser Law Examination
    2005-09-28
  • S63 Uniform Securities Agent State Law Examination
    1996-09-12

View on SEC IAPD

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