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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
CA RA APPROVED 2016-10-21
  • CA RA
    APPROVED
    Since 2016-10-21

Branch Locations

1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • United States

270 S Mills Rd, Ventura, CA 93003 • United States

202 E Matilija St, Ojai, CA 93023 • 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 Bank Na Aptos CA 09/2006 Present
Wells Fargo Advisors Llc Aptos CA 01/2012 11/2016
Wells Fargo Clearing Services, Llc Aptos CA 11/2016 Present
  • 09/2006 → Present
    Wells Fargo Bank Na
    Aptos, CA
  • 01/2012 → 11/2016
    Wells Fargo Advisors Llc
    Aptos, CA
  • 11/2016 → Present
    Aptos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-21
S63 Uniform Securities Agent State Law Examination 2012-03-13
  • S66 Uniform Combined State Law Examination
    2016-10-21
  • S63 Uniform Securities Agent State Law Examination
    2012-03-13

View on SEC IAPD

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