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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 2008-01-01
  • TX RA
    APPROVED
    Since 2008-01-01

Branch Locations

825 Town And Country Ln Ste 300, Houston, TX 77024 • United States

Cypress, TX • 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
Wells Fargo Advisors Llc Houston TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Houston TX 11/2016 Present
Previous Registrations
  • 2004-04-22 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Houston, TX
    Houston, TX
    St. Louis, MO
Other Businesses

MK EVENTS LLC; NOT INV RELATED; CYPRESS, TX; 100% OWNERSHIP WITH SPOUSE; START: 02/25/2015; HOURS: 1 PER MONTH - 0 DURING TRADING; DUTIES: TAX PREP FOR SPOUSE'S WEDDING AND EVENT FLORAL BUSINESS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-21
S63 Uniform Securities Agent State Law Examination 2001-12-28
  • S66 Uniform Combined State Law Examination
    2004-04-21
  • S63 Uniform Securities Agent State Law Examination
    2001-12-28

View on SEC IAPD

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