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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
NY RA APPROVED 2021-07-27
AZ RA APPROVED 2019-08-15
TX RA APPROVED_RES 2019-02-04
NJ RA APPROVED 2016-03-08
  • NY RA
    APPROVED
    Since 2021-07-27
  • AZ RA
    APPROVED
    Since 2019-08-15
  • TX RA
    APPROVED_RES
    Since 2019-02-04
  • NJ RA
    APPROVED
    Since 2016-03-08

Branch Locations

767 5Th Ave 33Rd Fl [Y2-Rbo], New York, NY 10153 • United States

Scottsdale, AZ • 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 New York NY 03/2016 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
Previous Registrations
  • 2006-10-11 → 2016-03-30
    Credit Suisse Securities (Usa) Llc
    New York, NY
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-09
S63 Uniform Securities Agent State Law Examination 2003-05-07
  • S66 Uniform Combined State Law Examination
    2006-10-09
  • S63 Uniform Securities Agent State Law Examination
    2003-05-07

View on SEC IAPD

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