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Stephen Marshall

Wells Fargo Clearing Services, LLC

Bethesda, MD

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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 2026-03-16
MD RA APPROVED 2024-02-07
  • TX RA
    APPROVED_RES
    Since 2026-03-16
  • MD RA
    APPROVED
    Since 2024-02-07

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • 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
Citigroup Global Markets Inc. Washington DC 05/2007 02/2024
Wells Fargo Clearing Services, Ll Bethesda MD 02/2024 Present
Previous Registrations
  • 2007-07-31 → 2024-02-09
    Citigroup Global Markets Inc.
    New York, NY
    Tampa, FL
    Mclean, VA
    Washington, DC
    Washington, DC
    Washington, DC
    Washington, DC
    Long Island City, NY
    Washington, DC
    Washington, DC
    Long Island City, NY
    Washington, DC
    Chicago, IL
    Washington, DC
    Washington, DC
    Washington, DC
    Gloucester, VA
    Washington, DC
    Chicago, IL
    Miami, FL
    Fort Mill, SC
    Silver Spring, MD
    San Antonio, TX
    Chicago, IL
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-24
S63 Uniform Securities Agent State Law Examination 2004-03-05
  • S65 Uniform Investment Adviser Law Examination
    2007-07-24
  • S63 Uniform Securities Agent State Law Examination
    2004-03-05

View on SEC IAPD

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