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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
NJ RA APPROVED 2007-04-03
  • NJ RA
    APPROVED
    Since 2007-04-03

Branch Locations

2433 Corlies Ave, Neptune, NJ 07753 • United States

331 Newman Springs Rd [By-Rbo], Red Bank, NJ 07701 • United States

51 John F Kennedy Pkwy 5Th Fl [J1/J2/J5-Rbo], Short Hills, NJ 07078 • United States

84 State Route 36, Eatontown, NJ 07724 • 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. Toms River NJ 09/2006 Present
Wells Fargo Advisors Llc Oakhurst NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Oakhurst NJ 11/2016 Present
  • 09/2006 → Present
    Wachovia Bank, N.A.
    Toms River, NJ
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Oakhurst, NJ
  • 11/2016 → Present
    Oakhurst, NJ
Previous Registrations
  • 2005-08-30 → 2006-09-07
    Chase Investment Services Corp.
    Red Bank, NJ
    Red Bank, NJ
  • 2004-01-20 → 2004-09-09
    Florham Park, NJ
Other Businesses

TINTON FALLS DIAMONDBACKS; NOT INVESTMENT RELATED; TINTON FALLS,NJ; 100% OWNERSHIP; START DATE 07/19/2021; NUMBER OF HOURS PER MONTH 12; NUMBER OF HOURS DURING TRADING 0; TRAVEL BASEBALL TEAM.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-16
  • S66 Uniform Combined State Law Examination
    2004-01-16

View on SEC IAPD

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