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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 2020-12-04
TX RA APPROVED 2020-12-04
  • CA RA
    APPROVED
    Since 2020-12-04
  • TX RA
    APPROVED
    Since 2020-12-04

Branch Locations

770 Tamalpais Dr Ste 400, Corte Madera, CA 94925 • 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
Merrill Lynch, Pierce, Fenner And Smith Incorporated Mill Valley CA 09/2011 12/2020
Bank Of America, N.A. Mill Valley CA 10/2011 12/2020
Wells Fargo Clearing Services, Llc San Rafael CA 12/2020 Present
  • 09/2011 → 12/2020
    Merrill Lynch, Pierce, Fenner And Smith Incorporated
    Mill Valley, CA
  • 10/2011 → 12/2020
    Bank Of America, N.A.
    Mill Valley, CA
  • 12/2020 → Present
    San Rafael, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-09
  • S66 Uniform Combined State Law Examination
    2004-04-09

View on SEC IAPD

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