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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 2020-06-08
CA RA APPROVED 2019-05-24
  • TX RA
    APPROVED
    Since 2020-06-08
  • CA RA
    APPROVED
    Since 2019-05-24

Branch Locations

5820 Nave Dr, Novato, CA 94949 • United States

2759 4Th St, Santa Rosa, CA 95405 • United States

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • United States

6585 Oakmont Dr, Santa Rosa, CA 95409 • United States

Santa Rosa, CA • 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 Sonoma CA 05/2016 11/2016
Wells Fargo Bank, Na Sonoma CA 05/2016 Present
Wells Fargo Clearing Services, Llc Sonoma CA 11/2016 Present
  • 05/2016 → 11/2016
    Wells Fargo Advisors Llc
    Sonoma, CA
  • 05/2016 → Present
    Wells Fargo Bank, Na
    Sonoma, CA
  • 11/2016 → Present
    Sonoma, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-24
S63 Uniform Securities Agent State Law Examination 2012-02-29
  • S65 Uniform Investment Adviser Law Examination
    2019-05-24
  • S63 Uniform Securities Agent State Law Examination
    2012-02-29

View on SEC IAPD

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