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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
NJ RA APPROVED 2013-03-21
TX RA APPROVED_RES 2011-05-24
  • NJ RA
    APPROVED
    Since 2013-03-21
  • TX RA
    APPROVED_RES
    Since 2011-05-24

Branch Locations

200 Campus Dr Ste 220, Florham Park, NJ 07932 • 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
Wells Fargo Advisors Llc Florham Park NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Florham Park NJ 11/2016 Present
Other Businesses

RENTAL PROPERTY, INVT RELATED, HACKETTSTOWN, NJ, 100% OWNERSHIP, START DATE 5/1/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, RENTING TO SIBLING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-03-12
S63 Uniform Securities Agent State Law Examination 1998-09-16
  • S65 Uniform Investment Adviser Law Examination
    2013-03-12
  • S63 Uniform Securities Agent State Law Examination
    1998-09-16

View on SEC IAPD

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