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Patrick James Baumann

Wells Fargo Clearing Services, LLC

New York, NY

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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 2026-04-24
NY RA APPROVED 2024-08-08
  • TX RA
    APPROVED
    Since 2026-04-24
  • NY RA
    APPROVED
    Since 2024-08-08

Branch Locations

1211 Ave Of The Americas 27Th Fl, New York, NY 10036 • 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 St Louis MO 03/2015 11/2016
Wells Fargo Clearing Services, Llc St Louis MO 11/2016 Present
Other Businesses

PMB LLC, INV RELATED, CHESTERFIELD, MO, 50% OWNER, START: 4/20/2018, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: NONE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-08-08
S63 Uniform Securities Agent State Law Examination 2007-03-01
  • S66 Uniform Combined State Law Examination
    2024-08-08
  • S63 Uniform Securities Agent State Law Examination
    2007-03-01

View on SEC IAPD

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