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Christopher Michael Rumley

Wells Fargo Clearing Services, LLC

St. Louis, MO

Charlotte, NC

Tega Cay, SC

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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
SC RA APPROVED 2024-06-18
NC RA APPROVED 2023-03-24
  • SC RA
    APPROVED
    Since 2024-06-18
  • NC RA
    APPROVED
    Since 2023-03-24

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

550 S Tryon St, Charlotte, NC 28202 • United States

Tega Cay, SC • 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 Gargo Clearing Services Charlotte NC 01/2017 01/2021
Wells Fargo Clearing Services Charlotte NC 01/2021 Present
Unemployed Tega Cay SC 01/2011 01/2017
  • 01/2017 → 01/2021
    Wells Gargo Clearing Services
    Charlotte, NC
  • 01/2021 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
  • 01/2011 → 01/2017
    Unemployed
    Tega Cay, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-24
S63 Uniform Securities Agent State Law Examination 2005-06-27
  • S66 Uniform Combined State Law Examination
    2023-03-24
  • S63 Uniform Securities Agent State Law Examination
    2005-06-27
Other Names
  • Chris Rumley
  • Christopher M Rumley

View on SEC IAPD

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