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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
MO RA APPROVED 2025-11-12
  • MO RA
    APPROVED
    Since 2025-11-12

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network, Llc St Louis MO 12/2013 10/2025
Wells Fargo Clearing Services St. Louis MO 12/2022 Present
Previous Registrations
Other Businesses

BOARD OF ELECTION COMMISSIONERS CITY OF ST. LOUIS; NOT INV RELATED; ST LOUIS,MO; ELECTION POLL WORKER/JUDGE; START DATE: 02/01/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-13
S63 Uniform Securities Agent State Law Examination 2001-09-20
  • S66 Uniform Combined State Law Examination
    2005-10-13
  • S63 Uniform Securities Agent State Law Examination
    2001-09-20
Other Names
  • James Michael Nichols
  • Jay Marco

View on SEC IAPD

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