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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 2022-04-22
IA RA APPROVED 2003-03-28
  • TX RA
    APPROVED_RES
    Since 2022-04-22
  • IA RA
    APPROVED
    Since 2003-03-28

Branch Locations

6400 Westown Pkwy Ste 115, West Des Moines, IA 50266 • United States

3806 Pheasant Ln, Waterloo, IA 50701 • 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
Wells Fargo Advisors Llc West Des Moines IA 05/2009 11/2016
Wells Fargo Clearing Services, Llc West Des Moines IA 11/2016 Present
Previous Registrations
Other Businesses

1. TRUSTEE FOR FAMILY, INV RELATED, WEST DES MOINES, IA, START 10/28/1998, 10 HOURS PER MONTH, ZERO DURING TRADING. 3. WHJ2 LLC, INV RELATED, 50% OWNERSHIP, START 4/15/2005, 10 PER MONTH, ZERO DURING TRADING, FAMILY FARMING AND REAL ESTATE. 4. HALSTROM FAMILY FARMS, INV RELATED, WEST DES MOINES, IA, 100% OWNERSHIP, START 1/1/2011, 10 HOURS PER MONTH, ZERO DURING TRADING, RECORD KEEPING AND LABOR. 5. JJ FARMS, LLC, INVT RELATED, WEST DES MOINES, IA, 100% OWNERSHIP WITH SPOUSE, START DATE 8/1/2020, 0 HRS PER MONTH, 0 HRS DURING TRADING, MEMBER OF LLC.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-06-08
S65 Uniform Investment Adviser Law Examination 1998-06-08
  • S63 Uniform Securities Agent State Law Examination
    1998-06-08
  • S65 Uniform Investment Adviser Law Examination
    1998-06-08

View on SEC IAPD

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