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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
CO RA APPROVED 2011-01-03
  • CO RA
    APPROVED
    Since 2011-01-03

Branch Locations

6733 S University Blvd, Littleton, CO 80122 • United States

5613 Dtc Parkway 9Th Fl [Mb-Rbo], Greenwood Village, CO 80111 • 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 Advisors Llc Greenwood Village CO 01/2011 11/2016
Wells Fargo Clearing Services, Llc Greenwood Village CO 11/2016 Present
Previous Registrations
  • 2006-01-24 → 2011-01-03
    Wells Fargo Investments, Llc
    Aurora, CO
    Greenwood Village, CO
    Aurora, CO
    Denver, CO
    Greenwood Village, CO
    Denver, CO
    Greenwood Village, CO
Other Businesses

POWER OF ATTORNEY -INDIVIDUAL; INV RELATED;CENTENNIAL,CO; ACCOUNT MONITORING AS POWER OF ATTORNEY -MOTHER; POWER OF ATTORNEY/CO-POWER OF ATTORNEY; START DATE: 07/29/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-20
  • S66 Uniform Combined State Law Examination
    2006-01-20

View on SEC IAPD

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