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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 2020-06-04
GA RA APPROVED 2004-09-01
  • TX RA
    APPROVED_RES
    Since 2020-06-04
  • GA RA
    APPROVED
    Since 2004-09-01

Branch Locations

1 10Th St Ste 450 Augusta Riverfront Ctr, Augusta, GA 30901 • 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 Augusta GA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Augusta GA 11/2016 Present
Other Businesses

RETREAT PRIVATE ROAD MAINTENANCE ASSOCIATION, NOT INV RELATED, PRESIDENT, START 9/1/2022, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING, MAINTAINING ROAD AND ENTRANCE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-08-31
S63 Uniform Securities Agent State Law Examination 1998-01-13
  • S66 Uniform Combined State Law Examination
    2004-08-31
  • S63 Uniform Securities Agent State Law Examination
    1998-01-13
Other Names
  • Andy Finch
  • Andrew H Finch

View on SEC IAPD

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