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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
MN RA APPROVED 2013-11-05
CA RA APPROVED 2011-01-03
  • MN RA
    APPROVED
    Since 2013-11-05
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

30 E 7Th St Ste 1200, Saint Paul, MN 55101 • United States

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Saint Paul MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Saint Paul MN 11/2016 Present
Previous Registrations
  • 2009-07-31 → 2011-01-03
    Wells Fargo Investments, Llc
    Saint Paul, MN
    Saint Paul, MN
    Saint Paul, MN
  • 2002-06-03 → 2009-08-03
    Lakeland, MN
    Hudson, WI
    Saint Paul, MN
    Woodbury, MN
    Woodbury, MN
    Saint Paul, MN
    St. Paul, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-23
S63 Uniform Securities Agent State Law Examination 2000-05-09
  • S66 Uniform Combined State Law Examination
    2005-08-23
  • S63 Uniform Securities Agent State Law Examination
    2000-05-09

View on SEC IAPD

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