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Christopher Neff

Wells Fargo Clearing Services, LLC

St. Louis, MO

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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 2017-07-13
MO RA APPROVED 2017-07-06
  • TX RA
    APPROVED
    Since 2017-07-13
  • MO RA
    APPROVED
    Since 2017-07-06

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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
Fred Harre Saint Louis MO 03/2015 05/2017
Northwestern Mutual Investment Services Llc Saint Louis MO 03/2015 05/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 02/2016 05/2017
Wells Fargo Clearing Services Llc St Louis MO 06/2017 Present
  • 03/2015 → 05/2017
    Fred Harre
    Saint Louis, MO
  • 03/2015 → 05/2017
    Northwestern Mutual Investment Services Llc
    Saint Louis, MO
  • 02/2016 → 05/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 06/2017 → Present
    Wells Fargo Clearing Services Llc
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-06
S63 Uniform Securities Agent State Law Examination 2016-01-07
  • S66 Uniform Combined State Law Examination
    2017-07-06
  • S63 Uniform Securities Agent State Law Examination
    2016-01-07
Other Names
  • Christopher G. Neff
  • Chris Neff

View on SEC IAPD

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