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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 2024-04-04
FL RA APPROVED 2017-09-19
VA RA APPROVED 2017-06-26
  • TX RA
    APPROVED_RES
    Since 2024-04-04
  • FL RA
    APPROVED
    Since 2017-09-19
  • VA RA
    APPROVED
    Since 2017-06-26

Branch Locations

7380 Manatee Ave W, Bradenton, FL 34209 • United States

1700 59Th St W, Bradenton, FL 34209 • United States

1819 Main St Ste 230 [A8-Rbo], Sarasota, FL 34236 • United States

1815 Lakewood Ranch Blvd, Bradenton, FL 34211 • United States

8595 S Tamiami Trail, Sarasota, FL 34238 • United States

7112 Us Hwy 301 N, Ellenton, FL 34222 • 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
Capital One Investment Services Llc Bethesda MD 05/2010 06/2017
Capital One Sharebuilder, Inc. Mclean VA 01/2015 06/2017
Sharebuilder 401K Seattle WA 01/2015 06/2017
Wells Fargo Clearing Services, Llc Sarasota FL 06/2017 Present
  • 05/2010 → 06/2017
    Capital One Investment Services Llc
    Bethesda, MD
  • 01/2015 → 06/2017
    Capital One Sharebuilder, Inc.
    Mclean, VA
  • 01/2015 → 06/2017
    Sharebuilder 401K
    Seattle, WA
  • 06/2017 → Present
    Sarasota, FL
Previous Registrations
  • 2015-01-28 → 2017-06-28
    Capital One Advisors, Llc
    Seattle, WA
  • 2010-04-26 → 2015-01-28
    Capital One Financial Advisors Llc
    Melville, NY
  • 2004-01-08 → 2010-05-07
    Chevy Chase Financial Services
    Bethesda, MD
    Bethesda, MD
    Bethesda, MD
  • 2003-07-21 → 2004-01-08
    Citicorp Investment Services
    Rockville, MD
  • 2002-10-28 → 2003-06-30
    Chevy Chase Financial Services
    Bethesda, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-22
  • S66 Uniform Combined State Law Examination
    2002-10-22

View on SEC IAPD

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