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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 2022-10-10
CO RA APPROVED 2015-10-09
  • TX RA
    APPROVED_RES
    Since 2022-10-10
  • CO RA
    APPROVED
    Since 2015-10-09

Branch Locations

1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • United States

460 S College Ave, Fort Collins, CO 80524 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Loveland CO 10/2015 11/2016
Wells Fargo Clearing Services, Llc Loveland CO 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-16
S63 Uniform Securities Agent State Law Examination 2003-02-21
  • S65 Uniform Investment Adviser Law Examination
    2005-08-16
  • S63 Uniform Securities Agent State Law Examination
    2003-02-21
Designations

View on SEC IAPD

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