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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 2026-01-26
VA RA APPROVED 2024-06-25
DC RA APPROVED 2010-03-26
  • TX RA
    APPROVED_RES
    Since 2026-01-26
  • VA RA
    APPROVED
    Since 2024-06-25
  • DC RA
    APPROVED
    Since 2010-03-26

Branch Locations

1700 K St Nw Ste 875, Washington, DC 20006 • United States

Springfield, VA • 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 Washington DC 03/2010 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
  • 2007-05-29 → 2010-03-29
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
  • 2004-09-22 → 2007-05-29
    Citicorp Investment Services
    Washington, DC
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-10-18
S63 Uniform Securities Agent State Law Examination 1998-03-10
  • S65 Uniform Investment Adviser Law Examination
    2004-10-18
  • S63 Uniform Securities Agent State Law Examination
    1998-03-10

View on SEC IAPD

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