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Shaun David Arnold

Wells Fargo Clearing Services, LLC

St. Louis, MO

Charlotte, NC

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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
NC RA APPROVED 2020-02-11
  • NC RA
    APPROVED
    Since 2020-02-11

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

401 S Tryon St, Charlotte, NC 28202 • 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 Charlotte NC 09/2014 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 07/2019
Ally Invest Securities Llc Charlottte NC 07/2019 12/2019
Wells Fargo Clearing Services Charlotte NC 01/2020 Present
  • 09/2014 → 11/2016
    Wells Fargo Advisors, Llc
    Charlotte, NC
  • 11/2016 → 07/2019
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 07/2019 → 12/2019
    Ally Invest Securities Llc
    Charlottte, NC
  • 01/2020 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
Previous Registrations
  • 2014-09-23 → 2019-07-16
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    St. Louis, MO
    Charlotte, NC
  • 2013-03-14 → 2014-09-12
    Mml Investors Services, Llc
    Charlotte, NC
  • 2008-02-29 → 2013-02-20
    Securities America Advisors, Inc.
    La Vista, NE
  • 2007-06-29 → 2008-02-28
    Td Ameritrade, Inc.
    Omaha, NE
  • 2007-06-29 → 2008-02-28
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Omaha, NE
  • 2005-02-03 → 2007-06-21
    Wells Fargo Investments, Llc
    Omaha, NE
    Omaha, NE
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-24
  • S66 Uniform Combined State Law Examination
    2005-01-24
Other Names
  • Shaun D. Arnold

View on SEC IAPD

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