Joanna Helene Ferguson

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-27
NJ	RA	APPROVED	2009-12-11

NY RA
APPROVED

Since 2021-07-27
NJ RA
APPROVED

Since 2009-12-11

Branch Locations

5789 Widewaters Pkwy 2Nd Fl, Dewitt, NY 13214 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Dewitt	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Dewitt	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Dewitt, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Dewitt, NY

Other Businesses

VILLAGE HARDWARE; NON INVESTMENT RELATED; BALDWINSVILLE, NY 13027; GIFT SHOP BUYER; START DATE=9/1/09; 20 HRS PER MTH/0 DURING MARKET; REPLENISH STOCK THAT IS SOLD.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-05-26
S63	Uniform Securities Agent State Law Examination	2009-04-03

S65 Uniform Investment Adviser Law Examination

2009-05-26
S63 Uniform Securities Agent State Law Examination

2009-04-03

Other Names

Joanna Ferguson

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

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