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James Anthony Waldorf

Wells Fargo Clearing Services, LLC

Bloomington, IL

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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 2009-11-21
IL RA APPROVED 2006-03-10
  • TX RA
    APPROVED_RES
    Since 2009-11-21
  • IL RA
    APPROVED
    Since 2006-03-10

Branch Locations

1705 Tullamore Ave Ste B, Bloomington, IL 61704 • 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 Bloomington IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bloomington IL 11/2016 Present
Previous Registrations
Other Businesses

OIL ROYALTY PAYMENTS FROM SHELL TRADING COMPANY; INV. RELATED; WYOMING; LESS THAN 2% MINERAL RIGHTS OWNERSHIP INHERITED; START DATE 8/2015; 0 HRS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-19
S63 Uniform Securities Agent State Law Examination 1997-11-06
  • S65 Uniform Investment Adviser Law Examination
    1997-11-19
  • S63 Uniform Securities Agent State Law Examination
    1997-11-06
Other Names
  • Jim Waldorf

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BLOOMINGTON, IL
SAVANT WEALTH MANAGEMENT · Bloomington, IL
STATE FARM INVESTMENT MANAGEMENT CORP. · Bloomington, IL
SAVANT WEALTH MANAGEMENT · BLOOMINGTON, IL
LPL FINANCIAL LLC · BLOOMINGTON, IL
EDWARD JONES · BLOOMINGTON, IL
EDWARD JONES · Bloomington, IL
THRIVENT INVESTMENT MANAGEMENT INC. · BLOOMINGTON, IL

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