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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_RES 2015-01-06
  • TX RA
    APPROVED_RES
    Since 2015-01-06

Branch Locations

51 John F Kennedy Pkwy 5Th Fl Office Center At Short Hills, Short Hills, NJ 07078 • 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
Wachovia Bank, N.A. Bernardsville NJ 03/2011 Present
Wells Fargo Advisors Llc Short Hills NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Short Hills NJ 11/2016 Present
  • 03/2011 → Present
    Wachovia Bank, N.A.
    Bernardsville, NJ
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Short Hills, NJ
  • 11/2016 → Present
    Short Hills, NJ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-04-08
  • S63 Uniform Securities Agent State Law Examination
    1998-04-08

View on SEC IAPD

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