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David Neal Johnson

Wells Fargo Clearing Services, LLC

Chapel Hill, NC

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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 2014-05-21
NC RA APPROVED 2008-03-31
  • TX RA
    APPROVED_RES
    Since 2014-05-21
  • NC RA
    APPROVED
    Since 2008-03-31

Branch Locations

1220 Environ Way Ste 1220, Chapel Hill, NC 27517 • 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
Wachovia Bank, N.A. Chapel Hill NC 10/2002 Present
Wells Fargo Advisors Llc Chapel Hill NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Chapel Hill NC 11/2016 Present
  • 10/2002 → Present
    Wachovia Bank, N.A.
    Chapel Hill, NC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Chapel Hill, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Chapel Hill, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-03-28
S63 Uniform Securities Agent State Law Examination 2007-11-16
  • S65 Uniform Investment Adviser Law Examination
    2008-03-28
  • S63 Uniform Securities Agent State Law Examination
    2007-11-16
Other Names
  • Neal Johnson

View on SEC IAPD

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Other Offices

FRANKLIN STREET ADVISORS INC. · CHAPEL HILL, NC
ABSHER WEALTH MANAGEMENT, LLC · CHAPEL HILL, NC
FRANKLIN STREET ADVISORS INC. · CHAPEL HILL, NC
RBC CAPITAL MARKETS, LLC · Chapel Hill, NC
TRUIST ADVISORY SERVICES, INC. · CHAPEL HILL, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHAPEL HILL, NC
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CHAPEL HILL, NC
ROBERT W. BAIRD & CO. INCORPORATED · Chapel Hill, NC

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