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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 2017-05-12
  • TX RA
    APPROVED
    Since 2017-05-12

Branch Locations

221 N Kansas St 1St Fl [Tf*/Tk-Rbo], El Paso, TX 79901 • United States

6175 Gateway Blvd W, El Paso, TX 79925 • United States

1340 George Dieter Dr, El Paso, TX 79936 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc El Paso TX 06/2015 05/2017
Wells Fargo Clearing Services, Llc El Paso TX 05/2017 Present
Previous Registrations
  • 2015-06-19 → 2017-05-22
    El Paso, TX
    Fort Mill, SC
    El Paso, TX
  • 2011-01-03 → 2015-06-23
    El Paso, TX
    El Paso, TX
    Albuquerque, NM
    El Paso, TX
    Tucson, AZ
    El Paso, TX
    El Paso, TX
    El Paso, TX
  • 2008-05-12 → 2011-01-03
    Wells Fargo Investments, Llc
    El Paso, TX
    El Paso, TX
    El Paso, TX
  • 2006-09-19 → 2008-03-12
    Wells Fargo Investments, Llc
    El Paso, TX
    El Paso, TX
    El Paso, TX
    El Paso, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-16
S63 Uniform Securities Agent State Law Examination 2005-08-16
  • S66 Uniform Combined State Law Examination
    2006-09-16
  • S63 Uniform Securities Agent State Law Examination
    2005-08-16

View on SEC IAPD

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