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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
SC RA APPROVED 2013-09-27
CT RA APPROVED 2013-09-04
  • SC RA
    APPROVED
    Since 2013-09-27
  • CT RA
    APPROVED
    Since 2013-09-04

Branch Locations

320 Broad St 4Th Fl [Rbo], Charleston, SC 29401 • United States

4380 Highway 17 Bypass, Murrells Inlet, SC 29576 • United States

1320 Main St Ste 600, Columbia, SC 29201 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wachovia Bank, N.A. Surfside Beach SC 06/2002 Present
Wells Fargo Advisors Llc Murrells Inlet SC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Murrells Inlet SC 11/2016 Present
  • 06/2002 → Present
    Wachovia Bank, N.A.
    Surfside Beach, SC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Murrells Inlet, SC
  • 11/2016 → Present
    Murrells Inlet, SC
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; MURRELLS INLET, SC; 100% OWNERSHIP WITH SPOUSE; START DATE 01/01/2018; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; LANDLORD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-28
S63 Uniform Securities Agent State Law Examination 1999-11-05
  • S66 Uniform Combined State Law Examination
    2013-08-28
  • S63 Uniform Securities Agent State Law Examination
    1999-11-05

View on SEC IAPD

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