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William Dungan

Wells Fargo Clearing Services, LLC

Charlotte, NC

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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 2018-02-20
NC RA APPROVED 2007-12-05
  • TX RA
    APPROVED
    Since 2018-02-20
  • NC RA
    APPROVED
    Since 2007-12-05

Branch Locations

6000 Fairview Rd Ste 800, Charlotte, NC 28210 • 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
Wachovia Bank, N.A. Roanoke VA 01/2003 Present
Wells Fargo Advisors Llc Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
  • 01/2003 → Present
    Wachovia Bank, N.A.
    Roanoke, VA
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Charlotte, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-04
S63 Uniform Securities Agent State Law Examination 2003-05-30
  • S65 Uniform Investment Adviser Law Examination
    2007-12-04
  • S63 Uniform Securities Agent State Law Examination
    2003-05-30
Other Names
  • William Dungan
  • William Eurie Dungan

View on SEC IAPD

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