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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
CA RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • United States

100 E 4Th Ave, San Mateo, CA 94401 • United States

12 17Th Ave, San Mateo, CA 94402 • 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 San Mateo CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Mateo CA 11/2016 Present
Previous Registrations
  • 2003-10-31 → 2011-01-03
    Wells Fargo Investments, Llc
    San Mateo, CA
    San Mateo, CA
    San Mateo, CA
  • 2002-10-02 → 2003-09-22
    San Jose, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-20
  • S66 Uniform Combined State Law Examination
    2002-09-20

View on SEC IAPD

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