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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 2016-03-11
CO RA APPROVED 2016-02-01
  • TX RA
    APPROVED
    Since 2016-03-11
  • CO RA
    APPROVED
    Since 2016-02-01

Branch Locations

5613 Dtc Parkway 9Th Fl [Mb-Rbo], Greenwood Village, CO 80111 • 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 Greenwood Village CO 02/2016 11/2016
Wells Fargo Clearing Services, Llc Greenwood Village CO 11/2016 Present
Previous Registrations
  • 2012-02-27 → 2014-09-02
    J.P. Morgan Institutional Investments Inc.
    Kansas City, MO
    Overland Park, KS
    Englewood, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-24
S63 Uniform Securities Agent State Law Examination 2006-09-27
  • S65 Uniform Investment Adviser Law Examination
    2012-02-24
  • S63 Uniform Securities Agent State Law Examination
    2006-09-27

View on SEC IAPD

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