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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 2017-09-26
  • TX RA
    APPROVED
    Since 2017-09-26

Branch Locations

100 Crescent Ct Ste 1400, Dallas, TX 75201 • 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
Bokf, Na Dallas TX 02/2013 09/2017
Bok Financial Securities, Inc. Dallas TX 02/2013 09/2017
Wells Fargo Clearing Services Llc Dallas TX 09/2017 Present
Previous Registrations
  • 2013-04-22 → 2017-10-23
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Dallas, TX
    Richardson, TX
    Dallas, TX
  • 2008-01-02 → 2009-02-18
    Td Ameritrade, Inc.
    Fort Worth, TX
    Southlake, TX
    Fort Worth, TX
  • 2008-01-02 → 2009-02-18
    Td Ameritrade Investment Management, Llc
    Fort Worth, TX
    Southlake, TX
Other Businesses

MVEMENT LLC, NOT INV RELATED, DALLAS, TX, 50% OWNERSHIP, START 2/6/2019, 8 HOURS PER MONTH, ZERO DURING TRADING, CROSS FIT GYM SUPPORTING COACHES AND STAFF, AND MAINTENANCE OF FACILITY. MVEMENT RX LLC, NOT INV RELATED, DALLAS, TX, 50% OWNERSHIP, START 7/1/2023, 8 HOURS PER MONTH, ZERO HOURS DURING TRADING, HELATH SPA ADDITION TO HEALTH CLUB. MYRO, INC.; INV RELATED;DALLAS,TX; HEALTHCARE DIAGNOSTIC PLATFORM;100% OWNERSHIP; START DATE: 05/31/2026; 80 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-04-04
S66 Uniform Combined State Law Examination 2007-12-27
S63 Uniform Securities Agent State Law Examination 2007-10-11
  • S65 Uniform Investment Adviser Law Examination
    2013-04-04
  • S66 Uniform Combined State Law Examination
    2007-12-27
  • S63 Uniform Securities Agent State Law Examination
    2007-10-11
Other Names
  • James Watson

View on SEC IAPD

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