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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
NC RA APPROVED 2006-05-18
  • NC RA
    APPROVED
    Since 2006-05-18

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

301 S Main St, Hendersonville, NC 28792 • United States

2373 Hendersonville Rd, Arden, NC 28704 • 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 Bank Na Hendersonville NC 05/2009 Present
Wells Fargo Advisors Llc Hendersonville NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hendersonville NC 11/2016 Present
  • 05/2009 → Present
    Wells Fargo Bank Na
    Hendersonville, NC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Hendersonville, NC
  • 11/2016 → Present
    Hendersonville, NC
Other Businesses

THE BRANDY BAR, NOT INV RELATED, HENDERSONVILLE, NC, BARTENDER, START 4/17/2018, 20 HOURS PER MONTH, ZERO DURING TRADING, BARTENDER.;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-12
S63 Uniform Securities Agent State Law Examination 1999-12-23
  • S65 Uniform Investment Adviser Law Examination
    2006-05-12
  • S63 Uniform Securities Agent State Law Examination
    1999-12-23

View on SEC IAPD

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