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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 2023-04-14
MN RA APPROVED 2013-11-04
  • TX RA
    APPROVED
    Since 2023-04-14
  • MN RA
    APPROVED
    Since 2013-11-04

Branch Locations

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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 Minneapolis MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 Present
Previous Registrations
  • 2005-04-21 → 2011-01-03
    Wells Fargo Investments, Llc
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
    Minneapolis, MN
Other Businesses

POWER OF ATTORNEY FOR PARENTS; INV RELATED; MINNEAPOLIS, MN; START 10/18/2016; 0 HR/MO; 0 DURING TRADING. GROVELAND TOWNHOUSE ASSOCIATION MN, NOT INV RELATED, MINNEAPOLIS, MN, TREASURER, START 3/1/2018, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: UPDATE FINANCIAL SPREADSHEETS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-26
  • S66 Uniform Combined State Law Examination
    2000-07-26

View on SEC IAPD

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