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Stephen Carl West

Wells Fargo Clearing Services, LLC

Salisbury, NC

Salisbury, NC

Charlotte, NC

Locust, NC

Albemarle, NC

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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
NC RA APPROVED 2008-07-11
  • NC RA
    APPROVED
    Since 2008-07-11

Branch Locations

1817 E Innes St, Salisbury, NC 28146 • United States

866 Jake Alexander Blvd W, Salisbury, NC 28147 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

215 Main St W, Locust, NC 28097 • United States

200 E Main St, Albemarle, NC 28001 • 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
Enterprise Leasing Co Se Charlotte NC 12/2001 Present
Wells Fargo Advisors Llc Salisbury NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Salisbury NC 11/2016 Present
  • 12/2001 → Present
    Enterprise Leasing Co Se
    Charlotte, NC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Salisbury, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Salisbury, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-10
S63 Uniform Securities Agent State Law Examination 2008-06-25
  • S65 Uniform Investment Adviser Law Examination
    2008-07-10
  • S63 Uniform Securities Agent State Law Examination
    2008-06-25
Other Names
  • Steve West
  • Stephen West

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · SALISBURY, NC
COMMONWEALTH FINANCIAL NETWORK · Salisbury, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SALISBURY, NC
EDWARD JONES · SALISBURY, NC
CETERA INVESTMENT ADVISERS LLC · SALISBURY, NC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC · SALISBURY, NC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC · SALISBURY, NC
INDEPENDENT ADVISOR ALLIANCE, LLC · Salisbury, NC

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