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Love K Malhotra

Wells Fargo Clearing Services, LLC

Norwalk, CT

Melville, NY

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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
CT RA APPROVED 2008-04-01
  • CT RA
    APPROVED
    Since 2008-04-01

Branch Locations

667 Connecticut Ave, Norwalk, CT 06854 • United States

68 S Service Rd Ste 200 [C1-Rbo], Melville, NY 11747 • 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
Wachovia Bank, N.A. Norwalk CT 04/2011 Present
Wells Fargo Advisors Llc Norwalk CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Norwalk CT 11/2016 Present
  • 04/2011 → Present
    Wachovia Bank, N.A.
    Norwalk, CT
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Norwalk, CT
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Norwalk, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-31
S63 Uniform Securities Agent State Law Examination 1997-10-09
  • S65 Uniform Investment Adviser Law Examination
    2008-03-31
  • S63 Uniform Securities Agent State Law Examination
    1997-10-09

View on SEC IAPD

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TIMOTHY PLATT PETTEE
SHEILA PECK PETTEE

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HOYA CAPITAL REAL ESTATE, LLC · ROWAYTON, CT
PETTEE INVESTORS INC · ROWAYTON, CT
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KINDRED CAPITAL ADVISORS LLC · NORWALK, CT

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