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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 2024-01-23
VA RA APPROVED 2010-09-03
  • TX RA
    APPROVED
    Since 2024-01-23
  • VA RA
    APPROVED
    Since 2010-09-03

Branch Locations

10 S Jefferson St Ste 2100 [V3/V8-Rbo], Roanoke, VA 24011 • United States

920 University City Blvd, Blacksburg, VA 24060 • United States

Salem, VA • 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
Wells Fargo Advisors Llc Roanoke VA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Roanoke VA 11/2016 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY; INV RELATED; ROANOKE, VA; 100% OWNERSHIP WITH SPOUSE; START DATE 9/1/2024; 1 HOUR PER MONTH; 0 DURING TRADING; OWNER OF RENTAL PROPERTY. RENTAL PROPERTY; INV RELATED; CHRISTIANSBURG, VA; 100% OWNERSHIP WITH SPOUSE; START DATE 9/2/2024; 1 HOUR PER MONTH; 0 DURING TRADING; OWNER OF RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-03-07
S63 Uniform Securities Agent State Law Examination 2001-03-19
  • S66 Uniform Combined State Law Examination
    2003-03-07
  • S63 Uniform Securities Agent State Law Examination
    2001-03-19
Designations

View on SEC IAPD

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