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Kenneth James Moodie

Wells Fargo Clearing Services, LLC

Roseville, CA

Roseville, CA

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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 2014-08-28
CA RA APPROVED 2014-07-15
  • TX RA
    APPROVED_RES
    Since 2014-08-28
  • CA RA
    APPROVED
    Since 2014-07-15

Branch Locations

1512 Eureka Rd 3Rd Fl, Roseville, CA 95661 • United States

1512 Eureka Rd Ste 300 [Kc-Rbo], Roseville, CA 95661 • 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
Wells Fargo Advisors, Llc Sacramento CA 07/2014 11/2016
Wells Fargo Clearing Services, Llc Sacramento CA 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2014-05-16
    J.P. Morgan Securities Llc
    Marysville, CA
  • 2009-05-02 → 2012-10-01
    Chase Investment Services Corp.
    Roseville, CA
    Marysville, CA
    Lincoln, CA
  • 2005-06-06 → 2009-05-02
    Wamu Investments, Inc.
    Roseville, CA
    Sacramento, CA
    Vacaville, CA
    Martinez, CA
    Fairfield, CA
    Fairfield, CA
    Antioch, CA
  • 2004-10-01 → 2005-06-07
    Ameriprise Financial Services, Llc
    Roseville, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-30
  • S66 Uniform Combined State Law Examination
    2004-09-30
Other Names
  • Ken Moodie

View on SEC IAPD

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Other Investors

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Christopher Bruce Stephenson
Kristofer Louis Jones
DANIEL HAVEN FULLER
Zachary Ward Scholfield
JULIA RAMONA SHILES
EDWARD JOSEPH BUNTING
BRADLEY SCOTT SULLIVAN

Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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