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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_RES 2020-06-05
KS RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2020-06-05
  • KS RA
    APPROVED
    Since 2008-01-01

Branch Locations

201 S Broadway St, Pittsburg, KS 66762 • 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 Pittsburg KS 05/2009 11/2016
Wells Fargo Clearing Services, Llc Pittsburg KS 11/2016 Present
Previous Registrations
  • 2003-09-04 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Pittsburg, KS
    Pittsburg, KS
    St. Louis, MO
Other Businesses

OUR LADY OF LOURDES CATHOLIC CHURCH; INVESTMENT RELATED; PITTSBURG,KS; FINANCE COMMITTEE MEMBER; START DATE 12/16/2020; NUMBER OF HOURS PER MONTH 1.5; NUMBER OF HOURS DURING TRADING 1.5; ATTENDING MEETINGS TO DISCUSS SCHOOL BUDGET AND ADVISE THE PASTOR ON FINANCIAL DECISIONS OF THE CHURCH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-18
S63 Uniform Securities Agent State Law Examination 2003-03-05
  • S65 Uniform Investment Adviser Law Examination
    2003-07-18
  • S63 Uniform Securities Agent State Law Examination
    2003-03-05
Other Names
  • Shane T Peak

View on SEC IAPD

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