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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
VT RA APPROVED 2026-03-27
FL RA APPROVED 2026-02-11
TX RA APPROVED 2026-02-10
  • VT RA
    APPROVED
    Since 2026-03-27
  • FL RA
    APPROVED
    Since 2026-02-11
  • TX RA
    APPROVED
    Since 2026-02-10

Branch Locations

1025 Greenwood Blvd Ste 179, Lake Mary, FL 32746 • United States

271 N Main St Ste 208, Rutland, VT 05701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Orlando FL 02/2026 Present
Ubs Financial Services Inc. S. Burlington VT 09/2004 02/2026
Previous Registrations
  • 2004-09-10 → 2026-02-20
    Rutland, VT
    South Burlington, VT
    S. Burlington, VT
    Winter Park, FL
    Longwood, FL
  • 1998-01-22 → 2004-09-14
    Morgan Stanley Dw Inc.
    Rutland, VT
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1997-11-07
S65 Uniform Investment Adviser Law Examination 1997-11-07
  • S63 Uniform Securities Agent State Law Examination
    1997-11-07
  • S65 Uniform Investment Adviser Law Examination
    1997-11-07

View on SEC IAPD

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