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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
MI RA APPROVED 2018-10-18
MO RA APPROVED 2018-10-16
TX RA APPROVED_RES 2010-06-28
OR RA APPROVED 2009-02-27
  • MI RA
    APPROVED
    Since 2018-10-18
  • MO RA
    APPROVED
    Since 2018-10-16
  • TX RA
    APPROVED_RES
    Since 2010-06-28
  • OR RA
    APPROVED
    Since 2009-02-27

Branch Locations

5400 Sw Meadows Rd Stes 200 & 250, Lake Oswego, OR 97035 • 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 Lake Oswego OR 05/2009 11/2016
Wells Fargo Clearing Services, Llc Lake Oswego OR 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-05-12
S63 Uniform Securities Agent State Law Examination 2000-04-26
  • S65 Uniform Investment Adviser Law Examination
    2000-05-12
  • S63 Uniform Securities Agent State Law Examination
    2000-04-26
Designations

View on SEC IAPD

More in Lake Oswego, OR

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