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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 2013-05-20
  • TX RA
    APPROVED
    Since 2013-05-20

Branch Locations

201 Main St 4Th Fl [Tg-Rbo], Fort Worth, TX 76102 • United States

7300 S Hulen St, Fort Worth, TX 76133 • United States

5320 N Beach St, Haltom City, TX 76137 • United States

4533 Bellaire Dr S, Fort Worth, TX 76109 • United States

200 Altamesa Blvd E, Fort Worth, TX 76134 • 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
Wells Fargo Advisors, Llc Fort Worth TX 05/2013 11/2016
Wells Fargo Clearing Services, Llc Fort Worth TX 11/2016 Present
Previous Registrations
  • 2010-10-15 → 2013-05-20
    Pnc Managed Account Solutions, Inc.
    Houston, TX
  • 2010-04-01 → 2010-10-15
    St Johns Wealth Management
    Azle, TX
  • 2008-05-14 → 2010-03-10
    Bbva Compass Investment Solutions, Inc
    Fort Worth, TX
    Fort Worth, TX
    Saginaw, TX
    Fort Worth, TX
    Azle, TX
    Azle, TX
    Fort Worth, TX
    Granbury, TX
    Fort Worth, TX
    Benbrook, TX
  • 2007-05-21 → 2008-05-14
    Cetera Investment Services Llc
    Fort Worth, TX
  • 2005-12-02 → 2007-05-14
    Wells Fargo Investments, Llc
    Fort Worth, TX
    Fort Worth, TX
  • 2005-09-02 → 2005-11-14
    First Command Brokerage Services, Inc.
    Fort Worth, TX
  • 2005-01-04 → 2005-09-02
    First Command Bank
    Fort Worth, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-11-16
S63 Uniform Securities Agent State Law Examination 2004-09-23
  • S65 Uniform Investment Adviser Law Examination
    2004-11-16
  • S63 Uniform Securities Agent State Law Examination
    2004-09-23
Other Names
  • Kristin Nicole Dozier

View on SEC IAPD

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