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Carol Elaine Whitley

Wells Fargo Clearing Services, LLC

Houston, TX

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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 2012-11-16
  • TX RA
    APPROVED
    Since 2012-11-16

Branch Locations

1000 Louisiana St 7Th Fl [Vc-Rbo], Houston, TX 77002 • 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, Llc Houston TX 10/2012 11/2016
Wells Fargo Clearing Services, Llc Houston TX 11/2016 Present
Previous Registrations
  • 2011-07-15 → 2012-08-09
    Wfg Advisors, Lp
    Kingwood, TX
  • 2010-09-23 → 2011-06-01
    Chase Investment Services Corp.
    Kingwood, TX
    Humble, TX
    Kingwood, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-21
S63 Uniform Securities Agent State Law Examination 2007-08-21
  • S65 Uniform Investment Adviser Law Examination
    2010-09-21
  • S63 Uniform Securities Agent State Law Examination
    2007-08-21
Designations
Other Names
  • Carol Elaine Williams
  • Carol E Whitley

View on SEC IAPD

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PEREA CAPITAL · HOUSTON, TX
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