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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
NY RA APPROVED 2021-07-27
SC RA APPROVED 2018-03-12
TX RA APPROVED 2008-08-07
  • NY RA
    APPROVED
    Since 2021-07-27
  • SC RA
    APPROVED
    Since 2018-03-12
  • TX RA
    APPROVED
    Since 2008-08-07

Branch Locations

196 2Nd Ave, Gloversville, NY 12078 • United States

Gloversville, NY • United States

320 Broad St, Charleston, SC 29401 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Saratoga Springs NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saratoga Springs NY 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2008-08-11
    Morgan Stanley & Co. Llc
    Amsterdam, NY
  • 2006-09-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Amsterdam, NY
    Albany, NY
Other Businesses

NOTARY PUBLIC; NOT INVESTMENT RELATED; NEW YORK STATE, FULTON COUNTY; START 5/31/90; LESS THAN 1 HR PER MONTH; LESS THAN 1 HR DURING TRADING HOURS. KNESSETH ISRAEL SYNAGOGUE; INVESTMENT RELATED; GOLVERSVILLE, NY; FINANCIAL SECRETARY; START 9/7/2016; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; PREPARING THE YEARLY BUDGET, MONITORING THE ACCOUNTS RECEIVABLES AND THE ACCOUNTS PAYABLES, REVIEWING DISBURSEMENTS AGAINST BUDGET APPROPRIATIONS, AND REPORTING IT ACCORDINGLY AT THE MEETINGS. SYNAGOGUE EMANU-EL, INVT RELATED, CHARLESTON, SC, FINANCE COMMITTEE SECRETARY, START 4/19/2023, 1 HR PER MONTH, 1 HR DURING TRADING, DEVELOP BUDGET AND MONITOR INVESTMENT ACCOUNTS. | ADDLESTONE HEBREW ACADEMY - TREASURER ; NOT INV RELATED;CHARLESTON,SC; ACADEMIC EXCELLENCE, JEWISH VALUES; TREASURER; START DATE: 07/01/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING; NORTH CHARLESTON POPS ORCHESTRA; NOT INV RELATED; NORTH CHARLESTON, SC; TREASURER; 06/2025; 2 HOURS PER MONTH; 0 DURING TRADING; PRESENT CONCERTS AT AFFORDABLE PRICES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-31
S63 Uniform Securities Agent State Law Examination 1998-08-21
  • S65 Uniform Investment Adviser Law Examination
    1998-08-31
  • S63 Uniform Securities Agent State Law Examination
    1998-08-21

View on SEC IAPD

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