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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
NM RA APPROVED 2011-10-25
  • NM RA
    APPROVED
    Since 2011-10-25

Branch Locations

6501 Americas Pkwy Ne Ste 1000, Albuquerque, NM 87110 • United States

Placitas, NM • 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 Advisors, Llc Albuquerque NM 08/2011 11/2016
Wells Fargo Clearing Services, Llc Albuquerque NM 11/2016 Present
Other Businesses

TRUSTEE FOR GRANDPARENT; INV RELATED; PLACITAS, NM; START: 4/30/18; 8 HRS/MO; 0 DURING TRADING. TRUSTEE FOR GRANDPARENTS RANCH TRUST; INV RELATED; PLACITAS, NM; START: 5/25/18; 4 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-21
  • S66 Uniform Combined State Law Examination
    2011-10-21
Designations

View on SEC IAPD

Other Firms

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