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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 2026-07-09
FL RA APPROVED 2022-06-24
NY RA APPROVED 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2026-07-09
  • FL RA
    APPROVED
    Since 2022-06-24
  • NY RA
    APPROVED
    Since 2021-07-27

Branch Locations

29930 Baywood Ln [Vacation/Secondary Residence], Wesley Chapel, FL 33543 • United States

88 Froehlich Farm Blvd, Woodbury, NY 11797 • United States

Smithtown, NY • 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 Woodbury NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Woodbury NY 11/2016 Present
Other Businesses

FARMINGDALE STATE UNIVERSITY; NON INV-RELATED; FARMINGDALE, NY; GOLF COACH/INSTRUCTOR; START: 5/6/02; 5 HRS/WK; 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-08
S63 Uniform Securities Agent State Law Examination 2000-02-18
  • S65 Uniform Investment Adviser Law Examination
    2000-03-08
  • S63 Uniform Securities Agent State Law Examination
    2000-02-18

View on SEC IAPD

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