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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 2017-03-08
AZ RA APPROVED 2014-04-07
  • TX RA
    APPROVED
    Since 2017-03-08
  • AZ RA
    APPROVED
    Since 2014-04-07

Branch Locations

2655 N Power Rd, Mesa, AZ 85215 • United States

8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • 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 Bank, N.A. Mesa AZ 10/2008 Present
Wells Fargo Advisors Llc Mesa AZ 04/2011 11/2016
Wells Fargo Clearing Services, Llc Mesa AZ 11/2016 Present
  • 10/2008 → Present
    Wells Fargo Bank, N.A.
    Mesa, AZ
  • 04/2011 → 11/2016
    Wells Fargo Advisors Llc
    Mesa, AZ
  • 11/2016 → Present
    Mesa, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-04-03
S63 Uniform Securities Agent State Law Examination 2011-07-21
  • S66 Uniform Combined State Law Examination
    2014-04-03
  • S63 Uniform Securities Agent State Law Examination
    2011-07-21

View on SEC IAPD

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