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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
TX RA APPROVED 2014-09-16
FL RA APPROVED 2014-08-12
  • TX RA
    APPROVED
    Since 2014-09-16
  • FL RA
    APPROVED
    Since 2014-08-12

Branch Locations

4794 S Tamiami Trail, Sarasota, FL 34231 • United States

1605 Main St 12Th & 14Th Fls [Eq-Rbo], Sarasota, FL 34236 • 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 Naples FL 07/2014 11/2016
Wells Fargo Clearing Services, Llc Naples FL 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2014-08-12
    Sarasota, FL
  • 2006-02-21 → 2009-06-01
    Sarasota, FL
    New York, NY
    Baltimore, MD
  • 2005-04-04 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Baltimore, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-02
  • S66 Uniform Combined State Law Examination
    2005-04-02
Designations

View on SEC IAPD

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