Steven David Ferris

Wells Fargo Clearing Services, LLC

The Villages, 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

Authority	Category	Status	Date
FL	RA	APPROVED	2021-01-04
WI	RA	APPROVED	2015-12-08
TX	RA	APPROVED_RES	2015-11-17

FL RA
APPROVED

Since 2021-01-04
WI RA
APPROVED

Since 2015-12-08
TX RA
APPROVED_RES

Since 2015-11-17

Branch Locations

The Villages, FL • United States

1270 Westhill Blvd Ste A, Appleton, WI 54914 • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Appleton	WI	11/2015	11/2016
Wells Fargo Clearing Services, Llc	Appleton	WI	11/2016	Present

11/2015 → 11/2016

Wells Fargo Advisors, Llc

Appleton, WI
11/2016 → Present

Wells Fargo Clearing Services, Llc

Appleton, WI

Previous Registrations

2011-10-27 → 2015-12-03

Morgan Stanley

Appleton, WI
2008-10-02 → 2011-11-30

Bfn Asset Management, Inc.

Two Rivers, WI
2008-02-08 → 2008-03-07

Primerock Asset Management, Llc

Centerville, OH
2006-11-02 → 2008-01-10

M&I Investment Management Corp.

Milwaukee, WI
2006-02-07 → 2006-09-15

Clifton Gunderson Wealth Advisors

Phoenix, AZ
2000-06-29 → 2006-02-01

Wells Fargo Clearing Services, Llc

Appleton, WI

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2011-11-07
S65	Uniform Investment Adviser Law Examination	1998-02-13

S63 Uniform Securities Agent State Law Examination

2011-11-07
S65 Uniform Investment Adviser Law Examination

1998-02-13

Other Names

Steve Ferris

View on SEC IAPD

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