Samuel Lynn Pratt

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-08
NC	RA	APPROVED	2010-09-17

TX RA
APPROVED_RES

Since 2021-06-08
NC RA
APPROVED

Since 2010-09-17

Branch Locations

15801 Brixham Hill Ave Ste 100, Charlotte, NC 28277 • 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

Organization	City	State	From	To
Wachovia Bank, N.A.	Charlotte	NC	07/2006	Present
Wells Fargo Advisors Llc	Matthews	NC	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Matthews	NC	11/2016	Present

07/2006 → Present

Wachovia Bank, N.A.

Charlotte, NC
05/2009 → 11/2016

Wells Fargo Advisors Llc

Matthews, NC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Matthews, NC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-09-15
S63	Uniform Securities Agent State Law Examination	2007-12-07

S66 Uniform Combined State Law Examination

2010-09-15
S63 Uniform Securities Agent State Law Examination

2007-12-07

Other Names

Sam L Pratt
Samuel Pratt

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews