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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_RES 2004-05-06
FL RA APPROVED 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2004-05-06
  • FL RA
    APPROVED
    Since 2003-07-01

Branch Locations

396 Alhambra Cir 8Th Fl, Coral Gables, FL 33134 • United States

Miami, FL • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Coral Gables FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Coral Gables FL 11/2016 Present
Previous Registrations
  • 2001-01-10 → 2003-07-01
    Prudential Equity Group, Llc
    Coral Gables, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-30
S63 Uniform Securities Agent State Law Examination 2001-01-16
  • S65 Uniform Investment Adviser Law Examination
    2001-01-30
  • S63 Uniform Securities Agent State Law Examination
    2001-01-16
Other Names
  • Alex Fernandez

View on SEC IAPD

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