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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
SC RA APPROVED 2017-04-20
  • SC RA
    APPROVED
    Since 2017-04-20

Branch Locations

320 Broad St 4Th Fl [Rbo], Charleston, SC 29401 • United States

4380 Highway 17 Bypass, Murrells Inlet, SC 29576 • United States

1320 Main St Ste 600, Columbia, SC 29201 • United States

3766 Renee Dr, Myrtle Beach, SC 29579 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Myrtle Beach SC 01/2007 04/2017
Wells Fargo Clearing Services, Llc Charleston SC 04/2017 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY; INV. RELATED; SENECA, SC; 100% OWNERSHIP; START DATE 1/2023; 5 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES NONE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-12
  • S66 Uniform Combined State Law Examination
    2007-04-12

View on SEC IAPD

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