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Xay Thao

Wells Fargo Clearing Services, LLC

Minneapolis, MN

Wayzata, MN

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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 2019-10-16
MN RA APPROVED 2017-11-19
  • TX RA
    APPROVED
    Since 2019-10-16
  • MN RA
    APPROVED
    Since 2017-11-19

Branch Locations

90 S 7Th St Fl 10 [Mn- Rbo], Minneapolis, MN 55402 • United States

930 Wayzata Blvd E, Wayzata, MN 55391 • 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. Minneapolis MN 07/2008 10/2016
Wells Fargo Advisors Llc Minneapolis MN 04/2011 10/2016
Bmo Harris Financial Advisors Burnsville MN 10/2016 10/2017
Wells Fargo Bank, Na Maplewood MN 09/2017 Present
Wells Fargo Clearing Services, Llc Maplewood MN 10/2017 Present
  • 07/2008 → 10/2016
    Wells Fargo Bank, N.A.
    Minneapolis, MN
  • 04/2011 → 10/2016
    Wells Fargo Advisors Llc
    Minneapolis, MN
  • 10/2016 → 10/2017
    Bmo Harris Financial Advisors
    Burnsville, MN
  • 09/2017 → Present
    Wells Fargo Bank, Na
    Maplewood, MN
  • 10/2017 → Present
    Wells Fargo Clearing Services, Llc
    Maplewood, MN
Previous Registrations
  • 2016-11-01 → 2017-10-13
    Bmo Harris Financial Advisors, Inc.
    Burnsville, MN
  • 2014-01-22 → 2016-10-03
    Wells Fargo Clearing Services, Llc
    Minneapolis, MN
    Minneapolis, MN
    Saint Paul, MN
    Minneapolis, MN
    Eden Prairie, MN
    Wayzata, MN
    Bloomington, MN
    Wayzata, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-14
S63 Uniform Securities Agent State Law Examination 2011-05-18
  • S66 Uniform Combined State Law Examination
    2017-11-14
  • S63 Uniform Securities Agent State Law Examination
    2011-05-18

View on SEC IAPD

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