Best Investors Account Sign in

Sandra Michele Penton

Wells Fargo Clearing Services, LLC

Atlanta, GA

Cumming, GA

Claim This Profile
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
GA RA APPROVED 2015-07-07
  • GA RA
    APPROVED
    Since 2015-07-07

Branch Locations

3235 Peachtree Rd Ne 1St, 2Nd & 4Th Fls, Atlanta, GA 30305 • United States

106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • 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 Bank, N.A. Atlanta GA 04/2009 Present
Wells Fargo Advisors Llc Atlanta GA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 Present
  • 04/2009 → Present
    Wells Fargo Bank, N.A.
    Atlanta, GA
  • 09/2010 → 11/2016
    Wells Fargo Advisors Llc
    Atlanta, GA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-06
S63 Uniform Securities Agent State Law Examination 2002-09-06
  • S66 Uniform Combined State Law Examination
    2015-07-06
  • S63 Uniform Securities Agent State Law Examination
    2002-09-06

View on SEC IAPD

Other Firms

LIQUID STRATEGIES, LLC
HB WEALTH
BISON WEALTH, LLC
BRIGHTER INVESTING, PB LLC
RBC CAPITAL MARKETS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
NEWEDGE ADVISORS
EQUITY SERVICES, INC.

Other Investors

PARIMAL H PATEL
CLAYTON SHAWN GIBSON
FRANK THOMAS WATERSON
WILLIAM LEWIS LEVINE
CHAD JOSEPH NORFOLK
SEAN PATRICK COOK
JONATHAN CHRISTOPHER BRISTOW
MEREDITH STRUTT MIGHTY

Other Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
HB WEALTH · ATLANTA, GA
BISON WEALTH, LLC · ATLANTA, GA
BRIGHTER INVESTING, PB LLC · ATLANTA, GA
RBC CAPITAL MARKETS, LLC · Atlanta, GA
HB WEALTH · Atlanta, GA
AMERIPRISE FINANCIAL SERVICES, LLC · Atlanta, GA
NEWEDGE ADVISORS · Atlanta, GA

More in Atlanta, GA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor