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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 2014-06-26
FL RA APPROVED 2014-06-17
  • TX RA
    APPROVED
    Since 2014-06-26
  • FL RA
    APPROVED
    Since 2014-06-17

Branch Locations

396 Alhambra Cir 8Th Fl [D2-Rbo], Coral Gables, FL 33134 • United States

7100 N Kendall Dr/Sw 88Th St, Miami, FL 33156 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Miami FL 06/2014 11/2016
Wells Fargo Clearing Services, Llc Miami FL 11/2016 Present
Previous Registrations
Other Businesses

MART TEMP AIR CONDITIONING, INC., NOT INV RELATED, MIAMI, FL, ADMINISTRATIVE ASSISTANT, START: 9/1/2018, 10 HOURS PER MONTH/0 DURING TRADING, DUTIES: DATA ENTRY ON QUICKBOOKS AND INVOICING CUSTOMERS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-12-11
S63 Uniform Securities Agent State Law Examination 2008-09-12
  • S66 Uniform Combined State Law Examination
    2012-12-11
  • S63 Uniform Securities Agent State Law Examination
    2008-09-12

View on SEC IAPD

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