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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 2022-11-29
CA RA APPROVED 2016-01-15
  • TX RA
    APPROVED
    Since 2022-11-29
  • CA RA
    APPROVED
    Since 2016-01-15

Branch Locations

2705 Park Marina Dr [Rc-Rbo], Redding, CA 96001 • 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 Advisors, Llc Redding CA 01/2016 11/2016
Wells Fargo Clearing Services, Llc Redding CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-04-06
S63 Uniform Securities Agent State Law Examination 2009-03-20
  • S65 Uniform Investment Adviser Law Examination
    2009-04-06
  • S63 Uniform Securities Agent State Law Examination
    2009-03-20
Designations

View on SEC IAPD

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