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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
  • NY RA
    APPROVED
    Since 2021-07-27

Branch Locations

137 Jackson Ave, Syosset, NY 11791 • United States

68 S Service Rd Ste 200 [Yi-Rbo], Melville, NY 11747 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc White Plains NY 05/2015 11/2016
Wells Fargo Clearing Services, Llc White Plains NY 11/2016 Present
Other Businesses

RENTAL PROPERTY; INV. RELATED; BALTIMORE,MD; 33% OWNERSHIP; START DATE 10/07/2022; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-10-25
S65 Uniform Investment Adviser Law Examination 1996-10-22
  • S63 Uniform Securities Agent State Law Examination
    1996-10-25
  • S65 Uniform Investment Adviser Law Examination
    1996-10-22

View on SEC IAPD

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