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Adam Ross Rosenzweig

Wells Fargo Clearing Services, LLC

New York, NY

Lumberton, NJ

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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 2023-04-21
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2020-06-29
CA RA APPROVED 2020-06-26
  • TX RA
    APPROVED_RES
    Since 2023-04-21
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2020-06-29
  • CA RA
    APPROVED
    Since 2020-06-26

Branch Locations

1 Penn Plz Fl 27, New York, NY 10119 • United States

Lumberton, NJ • 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
Rbc Capital Markets, Llc New York NY 08/2014 06/2020
Wells Fargo Clearing Services, Llc. New York NY 06/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-03
  • S66 Uniform Combined State Law Examination
    2004-11-03

View on SEC IAPD

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