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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
OH RA APPROVED 2019-01-28
CA RA APPROVED 2011-01-03
  • OH RA
    APPROVED
    Since 2019-01-28
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

226 Crocker Park Blvd Ste 200, Westlake, OH 44145 • United States

2880 Ygnacio Valley Rd, Walnut Creek, CA 94598 • United States

950 Main Ave Ste 300 [Gu-Rbo], Cleveland, OH 44113 • 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 Concord CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Concord CA 11/2016 Present
Previous Registrations
  • 2008-05-08 → 2011-01-03
    Wells Fargo Investments, Llc
    Walnut Creek, CA
    Danville, CA
    Danville, CA
  • 2008-04-22 → 2008-05-01
    Roseville, CA
  • 2005-03-16 → 2008-04-28
    Wells Fargo Investments, Llc
    Union City, CA
    San Lorenzo, CA
    Dublin, CA
    Dublin, CA
    Concord, CA
Other Businesses

RENTAL PROPERTY, INV RELATED, PARMA, OH, 100% OWNERSHIP WITH SPOUSE, START 8/25/2016, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: LANDLORD. RENTAL PROPERTY, INV RELATED, PARMA, OH, 100% OWNERSHIP WITH SPOUSE, START 10/15/2018, 3 HRS/MONTH, 1 HR DURING TRADING. AT HOME FAMILY LLC, INV RELATED, PARMA, OH, 100% OWNERSHIP WITH SPOUSE, START 3/11/2019, 2 HOURS PER MONTH, 1 HOUR DURING TRADING, PROPERTY MANAGEMENT. JKG LLC, INV RELATED, PARMA, OH, 100% OWNERSHIP WITH SPOUSE, START 3/14/2019, 2 HOURS PER MONTH, 1 HOUR DURING TRADING, PROPERTY MANAGEMENT. RENTAL PROPERTY, INV RELATED, MIDDLEBURG HEIGHTS, OH, 100% OWNERSHIP WITH SPOUSE, START 11/13/2020, 0 HRS PER MONTH/DURING TRADING, NO DUTIES. RENTAL PROPERTY, INV RELATED, BROOKLYN, OH, 100% OWNERSHIP WITH SPOUSE, START 12/25/2020, 1 HRS PER MONTH,0 HOURS DURING TRADING, NO DUTIES. RENTAL PROPERTY; INV. RELATED; OLMSTEAD TOWNSHIP,OH; 100% OWNERSHIP WITH SPOUSE; START DATE 11/10/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-15
  • S66 Uniform Combined State Law Examination
    2005-03-15
Designations

View on SEC IAPD

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