Brian Michael Baca

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
MN	RA	APPROVED	2023-08-17

MN RA
APPROVED

Since 2023-08-17

Branch Locations

2945 White Bear Ave N, Maplewood, MN 55109 • United States

90 S 7Th St 10Th & 11Th Fls [Gj-Rbo], Minneapolis, MN 55402 • 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

Organization	City	State	From	To
Wells Fargo Clearing Services, Llc	Maplewood	MN	03/2023	Present
Wells Fargo Bank, Na	Maplewood	MN	11/2010	Present

03/2023 → Present

Wells Fargo Clearing Services, Llc

Maplewood, MN
11/2010 → Present

Wells Fargo Bank, Na

Maplewood, MN

Other Businesses

RENTAL PROPERTY; INV. RELATED; COTTAGE GROVE, MN; OWNER; START DATE 8/15/2007; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: MAINTAIN PROPERTY.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-08-17
S63	Uniform Securities Agent State Law Examination	2023-06-16

S65 Uniform Investment Adviser Law Examination

2023-08-17
S63 Uniform Securities Agent State Law Examination

2023-06-16

Other Names

Brian M Baca
Brian Baca

View on SEC IAPD