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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 2024-01-23
VA RA APPROVED 2010-09-09
  • TX RA
    APPROVED
    Since 2024-01-23
  • VA RA
    APPROVED
    Since 2010-09-09

Branch Locations

10 S Jefferson St Ste 2100 [V3/V8-Rbo], Roanoke, VA 24011 • United States

920 University City Blvd, Blacksburg, VA 24060 • 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 Roanoke VA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Roanoke VA 11/2016 Present
Previous Registrations
  • 2010-07-19 → 2010-10-04
    Wood & White Investment Advisors, L.L.C.
    Lynchburg, VA
  • 2003-07-02 → 2009-03-05
    Banc Of America Investment Services, Inc.
    Roanoke, VA
    Roanoke, VA
    Roanoke, VA
Other Businesses

SECOND PRESBYTERIAN CHURCH, INVT RELATED, ROANOKE, VA, FINANCE COMMITTEE MEMBER, START DATE 5/18/2015, 1 HR PER MONTH, 0 HRS DURING TRADING, REVIEWING AND APPROVING ANNUAL BUDGET AND EXPENSES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-06-30
  • S66 Uniform Combined State Law Examination
    2003-06-30
Designations
Other Names
  • Brownie Edward Polly

View on SEC IAPD

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