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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 2018-08-30
WA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2018-08-30
  • WA RA
    APPROVED
    Since 2011-01-03

Branch Locations

555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • United States

1201 Pacific Ave 11Th Fl [Xq-Rbo], Tacoma, WA 98402 • United States

Lakewood, WA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
United States Marine Corps Reserves Oak Harbor WA 01/1996 Present
Wells Fargo Advisors Llc Gig Harbor WA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Gig Harbor WA 11/2016 Present
  • 01/1996 → Present
    United States Marine Corps Reserves
    Oak Harbor, WA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Gig Harbor, WA
  • 11/2016 → Present
    Gig Harbor, WA
Previous Registrations
  • 2004-07-26 → 2011-01-03
    Wells Fargo Investments, Llc
    Lakewood, WA
    Gig Harbor, WA
    Port Orchard, WA
    Tacoma, WA
    Tacoma, WA
Other Businesses

JACKSON V EQUITY, LLC; INV RELATED; LAKEWOOD, WA; RENTAL PROPERTY; 33% OWNERSHIP WITH SPOUSE; START 6/2006; 4 HOURS PER MONTH, 0 DURING TRADING; MANAGER. OHANA VENTURES, LLC; INV RELATED; LAKEWOOD, WA; RENTAL PROPERTY; 50% OWNERSHIP WITH SPOUSE; START 10/2001; 4 HOURS PER MONTH, 0 DURING TRADING; MANAGER. RENTAL PROPERTY; INV-RELATED; LAKEWOOD, WA; 100% OWNERSHIP WITH SPOUSE; START: 09/01/2009; HOURS: 1 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD LINK SYSTEMS DBA LINK LANYARDS; NOT INVESTMENT RELATED; TACOMA,WA; 5% OWNERSHIP; START DATE 11/14/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER. RENTAL PROPERTY, INVT RELATED, UNIVERSITY PLACE, WA, 50% OWNERSHIP WITH SPOUSE. START DATE 10/1/2016, 2 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL MANAGEMENT. RENTAL PROPERTY UNITS, INVT RELATED, LAKEWOOD, WA, 33% OWNERSHIP WITH SPOUSE, START DATE 10/1/2016, 2 HRS PER MONTH, 0 HRS DURING TRADING, RENTAL MANAGEMENT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-07-23
S63 Uniform Securities Agent State Law Examination 2002-02-14
  • S65 Uniform Investment Adviser Law Examination
    2004-07-23
  • S63 Uniform Securities Agent State Law Examination
    2002-02-14

View on SEC IAPD

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