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Gregory Thomas Klein

Wells Fargo Clearing Services, LLC

Fuquay Varina, NC

Wilmington, NC

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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 2020-10-13
NC RA APPROVED 2012-08-24
  • TX RA
    APPROVED_RES
    Since 2020-10-13
  • NC RA
    APPROVED
    Since 2012-08-24

Branch Locations

1256 E Broad St, Fuquay Varina, NC 27526 • United States

6752 Parker Farm Dr Ste 300, Wilmington, NC 28405 • 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 Raleigh NC 08/2012 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 Present
Previous Registrations
Other Businesses

THE SONIK TEMPLE; NON INV RELATED; CLAYTON, NC; 100% OWNERSHIP; STREAMING MUSIC WEBSITE; START 4/2017; 4-6 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-05-07
S63 Uniform Securities Agent State Law Examination 2004-01-30
  • S65 Uniform Investment Adviser Law Examination
    2007-05-07
  • S63 Uniform Securities Agent State Law Examination
    2004-01-30

View on SEC IAPD

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Other Offices

EDWARD JONES · FUQUAY VARINA, NC
CREDIT UNION INVESTMENT SERVICES · Fuquay Varina, NC
LPL FINANCIAL LLC · FUQUAY VARINA, NC
CAPITAL FINANCIAL MANAGEMENT NC, INC · FUQUAY VARINA, NC
GRADIENT INVESTMENTS, LLC · FUQUAY VARINA, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Fuquay Varina, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FUQUAY VARINA, NC
SABER CAPITAL MANAGEMENT LLC · FUQUAY VARINA, NC

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