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Kristen Lee Dixon

Wells Fargo Clearing Services, LLC

Las Vegas, NV

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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
NV RA APPROVED 2017-08-09
TX RA APPROVED 2017-08-02
  • NV RA
    APPROVED
    Since 2017-08-09
  • TX RA
    APPROVED
    Since 2017-08-02

Branch Locations

6325 S Rainbow Blvd 3Rd Fl [Las Vegas Rcast], Las Vegas, NV 89118 • 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
Bankers Life & Casualty Las Vegas NV 11/2016 01/2017
Unemployed Las Vegas NV 03/2016 11/2016
Bankers Life Securities Inc Las Vegas NV 01/2017 07/2017
Wells Fargo Clearing Services, Llc Las Vegas NV 07/2017 Present
  • 11/2016 → 01/2017
    Bankers Life & Casualty
    Las Vegas, NV
  • 03/2016 → 11/2016
    Unemployed
    Las Vegas, NV
  • 01/2017 → 07/2017
    Bankers Life Securities Inc
    Las Vegas, NV
  • 07/2017 → Present
    Wells Fargo Clearing Services, Llc
    Las Vegas, NV
Previous Registrations
Other Businesses

PLEXUS, NOT INV RELATED, LAS VEGAS, NV, AMBASSADOR, START 8/1/2018, 10 HOURS PER MONTH, ZERO DURING TRADING, SUPPLEMENT SALES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-05-03
S63 Uniform Securities Agent State Law Examination 2012-08-03
  • S65 Uniform Investment Adviser Law Examination
    2017-05-03
  • S63 Uniform Securities Agent State Law Examination
    2012-08-03

View on SEC IAPD

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MICHAEL J COOK

Other Offices

YH&C INVESTMENTS INC. · LAS VEGAS, NV
MM MACHINE, LLC · LAS VEGAS, NV
QUANTIFIX CAPITAL MANAGEMENT, LLC · LAS VEGAS, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAS VEGAS, NV
AI AGENT CAPITAL, LLC · LAS VEGAS, NV
BETTER CAPITAL MANAGEMENT LLC · LAS VEGAS, NV
U.S. BANCORP ADVISORS, LLC · Las Vegas, NV
ROSTEN CAPITAL INVESTMENTS LLC · LAS VEGAS, NV

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