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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 2024-03-26
  • TX RA
    APPROVED
    Since 2024-03-26

Branch Locations

550 Reserve St., Ste 500 Granite Place, Southlake, TX 76092 • 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
Ameriprise Financial Services, Inc. Plano TX 07/2008 03/2020
Ameriprise Financial Services, Llc Plano TX 03/2020 03/2024
Wells Fargo Clearing Services, Llc Plano TX 03/2024 Present
Previous Registrations
Other Businesses

GOOD SOIL WORKS LLC; INV RELATED; FLOWER MOUND, TX; 100% OWNERSHIP; START DATE 2/7/2022; 2 HOURS PER MONTH; 0 DURING TRADING; OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-09-15
  • S66 Uniform Combined State Law Examination
    2008-09-15
Other Names
  • Antonio Lopez
  • Tony Lopez

View on SEC IAPD

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