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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
MO RA APPROVED 2024-10-28
MT RA APPROVED 2021-01-05
KS RA APPROVED 2001-02-06
TX RA APPROVED_RES 1998-09-23
  • MO RA
    APPROVED
    Since 2024-10-28
  • MT RA
    APPROVED
    Since 2021-01-05
  • KS RA
    APPROVED
    Since 2001-02-06
  • TX RA
    APPROVED_RES
    Since 1998-09-23

Branch Locations

10369 Clayton Rd, Frontenac, MO 63131 • 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 Topeka KS 05/2009 11/2016
Wells Fargo Clearing Services, Llc Topeka KS 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-02-18
S63 Uniform Securities Agent State Law Examination 1997-07-02
  • S65 Uniform Investment Adviser Law Examination
    1998-02-18
  • S63 Uniform Securities Agent State Law Examination
    1997-07-02

View on SEC IAPD

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