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Adam King

Wells Fargo Clearing Services, LLC

Plattsburgh, 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
TX RA APPROVED 2025-02-26
NY RA APPROVED 2024-02-28
  • TX RA
    APPROVED
    Since 2025-02-26
  • NY RA
    APPROVED
    Since 2024-02-28

Branch Locations

8 Booth Dr, Plattsburgh, NY 12901 • 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
Lpl Plattsburgh NY 04/2014 02/2024
Nbt Bank Plattsburgh NY 04/2014 02/2024
Wells Fargo Clearing Services, Llc. Plattsburgh NY 02/2024 Present
Previous Registrations
  • 2014-05-07 → 2024-03-13
    Lpl Financial Llc
    Plattsburgh, NY
    San Diego, CA
    Plattsburgh, NY
    Lake Placid, NY
    Massena, NY
    Lake Placid, NY
    Lake Placid, NY
    Potsdam, NY
    Saranac Lake, NY
    Ellenburg Depot, NY
    Norfolk, NY
    Williston, VT
    Essex Jct, VT
    Glens Falls, NY
  • 2013-09-25 → 2014-04-29
    Morgan Stanley
    Colchester, VT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-09-24
S63 Uniform Securities Agent State Law Examination 1998-12-03
  • S65 Uniform Investment Adviser Law Examination
    2013-09-24
  • S63 Uniform Securities Agent State Law Examination
    1998-12-03
Other Names
  • Adam A King
  • Adam Andrew King

View on SEC IAPD

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ADAM W ROBERT

Other Offices

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · Plattsburgh, NY
LPL FINANCIAL LLC · PLATTSBURGH, NY
EDWARD JONES · Plattsburgh, NY
LPL FINANCIAL LLC · PLATTSBURGH, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Plattsburgh, NY
OSAIC WEALTH, INC. · PLATTSBURGH, NY
TD PRIVATE CLIENT WEALTH LLC · Plattsburgh, NY
CETERA INVESTMENT ADVISERS LLC · PLATTSBURGH, NY

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