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Joshua Caldwell Carrick

Wells Fargo Clearing Services, LLC

New York, NY

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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_RES 2015-04-23
NJ RA APPROVED 2013-10-10
  • TX RA
    APPROVED_RES
    Since 2015-04-23
  • NJ RA
    APPROVED
    Since 2013-10-10

Branch Locations

767 5Th Ave 33Rd Fl [Y2-Rbo], New York, NY 10153 • 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 New York NY 10/2013 11/2016
Wells Fargo Bank, Na New York NY 10/2013 Present
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
  • 10/2013 → 11/2016
    Wells Fargo Advisors, Llc
    New York, NY
  • 10/2013 → Present
    Wells Fargo Bank, Na
    New York, NY
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    New York, NY
Previous Registrations
  • 2008-08-13 → 2013-10-04
    Hsbc Securities (Usa) Inc.
    New York, NY
  • 2005-04-13 → 2008-06-06
    Chase Investment Services Corp.
    New York, NY
    New York City, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-06-08
  • S66 Uniform Combined State Law Examination
    2000-06-08

View on SEC IAPD

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