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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
TX RA APPROVED 2012-07-12
  • TX RA
    APPROVED
    Since 2012-07-12

Branch Locations

111 Congress Ave. 3Rd Fl, Ste 300 [Tt-Rbo], Austin, TX 78701 • United States

401 W Mercer St, Dripping Springs, TX 78620 • 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
Cale Solutions, Llc Dale TX 04/2010 Present
Wells Fargo Bank Na Austin TX 05/2012 Present
Wells Fargo Advisors, Llc. Austin TX 05/2012 11/2016
Wells Fargo Clearing Services, Llc Austin TX 11/2016 Present
  • 04/2010 → Present
    Cale Solutions, Llc
    Dale, TX
  • 05/2012 → Present
    Wells Fargo Bank Na
    Austin, TX
  • 05/2012 → 11/2016
    Wells Fargo Advisors, Llc.
    Austin, TX
  • 11/2016 → Present
    Austin, TX
Previous Registrations
  • 2011-06-27 → 2011-10-25
    Waddell & Reed
    Austin, TX
Other Businesses

CALE SOLUTIONS, LLC, NOT INV RELATED, DALE, TX,50% OWNERSHIP, START: 4/2010, 0 HOURS PER MONTH, DUTIES: OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-22
  • S66 Uniform Combined State Law Examination
    2011-06-22

View on SEC IAPD

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