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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
CO RA APPROVED 2013-07-10
  • CO RA
    APPROVED
    Since 2013-07-10

Branch Locations

3600 S College Ave 1St Fl, Fort Collins, CO 80525 • United States

1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • 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
Red Stone Properties, Llc Fort Collins CO 06/2006 Present
Turning Point Center For Youth Fort Collins CO 10/2008 Present
Wells Fargo Bank Na Fort Collins CO 07/2013 Present
Wells Fargo Advisors Llc Fort Collins CO 07/2013 11/2016
Wells Fargo Clearing Services, Llc Fort Collins CO 11/2016 Present
  • 06/2006 → Present
    Red Stone Properties, Llc
    Fort Collins, CO
  • 10/2008 → Present
    Turning Point Center For Youth
    Fort Collins, CO
  • 07/2013 → Present
    Wells Fargo Bank Na
    Fort Collins, CO
  • 07/2013 → 11/2016
    Wells Fargo Advisors Llc
    Fort Collins, CO
  • 11/2016 → Present
    Fort Collins, CO
Previous Registrations
Other Businesses

POWER OF ATTORNEY FOR SIBLING, INV RELATED, FORT COLLINS, CO, START: 3/22/2022, 1 HR/MONTH, 0 HRS DURING TRADING. 1108 MAPLE LLC, INV RELATED, FORT COLLINS, CO, 100% OWNERSHIP WITH SPOUSE, START 12/18/2022, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, TO HOLD REAL ESTATE.; RENTAL PROPERTY, INV RELATED, FORT COLLINS, CO, 100% OWNERSHIP WITH SPOUSE, START: 12/30/2022, 2 HOURS A MONTH, 0 HOURS DURING TRADING, RESIDENTIAL RENTAL PROPERTY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-04
S63 Uniform Securities Agent State Law Examination 2008-10-28
  • S65 Uniform Investment Adviser Law Examination
    2008-11-04
  • S63 Uniform Securities Agent State Law Examination
    2008-10-28
Other Names
  • Dave Palm
  • David B Palm

View on SEC IAPD

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