Benjamin Ross Boaz

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2014-12-01
NC	RA	APPROVED	2011-06-14

TX RA
APPROVED

Since 2014-12-01
NC RA
APPROVED

Since 2011-06-14

Branch Locations

130 Harbour Pl Dr Ste 200, Davidson, NC 28036 • United States

1377 N Center St, Hickory, NC 28601 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Lenoir	NC	04/2011	11/2016
Wells Fargo Clearing Services, Llc	Lenoir	NC	11/2016	Present

04/2011 → 11/2016

Wells Fargo Advisors Llc

Lenoir, NC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Lenoir, NC

Other Businesses

LENOIR HOUSING AUTHORITY; INV RELATED; LENOIR, NC; BOARD OF COMMISSIONERS - CHAIRPERSON; 07/2024; 2 HOURS PER MONTH; 0 DURING TRADING; PROVIDE SAFE AND AFFORDABLE HOUSING TO LOW-INCOME FAMILIES AND INDIVIDUALS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-06-13

S66 Uniform Combined State Law Examination

2011-06-13

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews