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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
CT RA APPROVED 2026-07-06
TX RA APPROVED 2026-07-06
  • CT RA
    APPROVED
    Since 2026-07-06
  • TX RA
    APPROVED
    Since 2026-07-06

Branch Locations

1 Eagle Rd, Danbury, CT 06810 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Danbury CT 12/2022 06/2026
Valenti Audi Watertown CT 01/2017 06/2017
Danbury Auto Group Danbury CT 06/2017 09/2017
Audi Danbury Danbury CT 09/2017 04/2019
Audi Greenwich Greenwich CT 04/2019 07/2019
Miller Motorcars Westport CT 08/2019 11/2019
Volvo Westport Westport CT 12/2019 08/2020
Bmw Of Ridgefield Ridgefield CT 09/2020 12/2021
Western Ct Federal Credit Union Bethel CT 01/2016 12/2016
Polestar Westport Westport CT 12/2021 10/2022
Northwestern Mutual Norwalk CT 10/2022 12/2022
Bank Of America N.A. Danbury CT 12/2022 06/2026
Wells Fargo Clearing Services, Llc Danbury CT 06/2026 Present
  • 12/2022 → 06/2026
    Danbury, CT
  • 01/2017 → 06/2017
    Valenti Audi
    Watertown, CT
  • 06/2017 → 09/2017
    Danbury Auto Group
    Danbury, CT
  • 09/2017 → 04/2019
    Audi Danbury
    Danbury, CT
  • 04/2019 → 07/2019
    Audi Greenwich
    Greenwich, CT
  • 08/2019 → 11/2019
    Miller Motorcars
    Westport, CT
  • 12/2019 → 08/2020
    Volvo Westport
    Westport, CT
  • 09/2020 → 12/2021
    Bmw Of Ridgefield
    Ridgefield, CT
  • 01/2016 → 12/2016
    Western Ct Federal Credit Union
    Bethel, CT
  • 12/2021 → 10/2022
    Polestar Westport
    Westport, CT
  • 10/2022 → 12/2022
    Northwestern Mutual
    Norwalk, CT
  • 12/2022 → 06/2026
    Bank Of America N.A.
    Danbury, CT
  • 06/2026 → Present
    Danbury, CT
Previous Registrations
Other Businesses

I*1354253 For profit or not for profit: Entity For Profit Name of outside business organization: Amazon Flex Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Corporation"] Position, title, association: ["Consultant/Independent Contractor"], Start date of relationship: 6/24/2023 Number of hours devoted: 8 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , Per diem package delivery

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-14
S63 Uniform Securities Agent State Law Examination 2011-10-18
  • S66 Uniform Combined State Law Examination
    2023-04-14
  • S63 Uniform Securities Agent State Law Examination
    2011-10-18
Other Names
  • Daniel Lariccia
  • Daniel Philip Lariccia
  • Dan P Lariccia

View on SEC IAPD

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