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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 2026-05-01
  • TX RA
    APPROVED
    Since 2026-05-01

Branch Locations

8115 Preston Rd Ste 300 [Vb-Rbo], Dallas, TX 75225 • 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
Kestra Financial Services, Inc Austin TX 04/2016 02/2017
Cambridge Investment Research, Inc. Fairfield IA 02/2017 06/2017
Institutional Securities Corp Dallas TX 06/2017 11/2021
Isc Advisors, Inc. Dallas TX 06/2017 11/2021
Commonwealth Financial Network Waltham MA 11/2021 05/2026
Duke Wealth Management Dallas TX 11/2021 05/2026
Wells Fargo Clearing Services, Llc Dallas TX 05/2026 Present
  • 04/2016 → 02/2017
    Kestra Financial Services, Inc
    Austin, TX
  • 02/2017 → 06/2017
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 06/2017 → 11/2021
    Institutional Securities Corp
    Dallas, TX
  • 06/2017 → 11/2021
    Dallas, TX
  • 11/2021 → 05/2026
    Waltham, MA
  • 11/2021 → 05/2026
    Duke Wealth Management
    Dallas, TX
  • 05/2026 → Present
    Dallas, TX
Previous Registrations
  • 2021-11-01 → 2026-05-04
    Dallas, TX
    Dallas, TX
  • 2017-06-12 → 2021-11-02
    Dallas, TX
    Dallas, TX
  • 2017-02-15 → 2017-06-14
    Lawing Financial Inc
    Dallas, TX
    Overland Park, KS
  • 2016-04-18 → 2017-02-16
    Dallas, TX
  • 2010-09-01 → 2016-09-22
    Kestra Investment Services, Llc
    Wichita Falls, TX
    Dallas, TX
    Dallas, TX
  • 2010-06-03 → 2010-09-17
    Institutional Securities Corporation
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-06-02
S63 Uniform Securities Agent State Law Examination 2009-05-22
  • S66 Uniform Combined State Law Examination
    2010-06-02
  • S63 Uniform Securities Agent State Law Examination
    2009-05-22

View on SEC IAPD

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