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William Armando Swink

Wells Fargo Clearing Services, LLC

Monroe, NC

Charlotte, NC

Charlotte, NC

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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
FL RA APPROVED 2023-09-01
NC RA APPROVED 2021-04-09
  • FL RA
    APPROVED
    Since 2023-09-01
  • NC RA
    APPROVED
    Since 2021-04-09

Branch Locations

1989 Dickerson Blvd, Monroe, NC 28110 • United States

6101 South Blvd, Charlotte, NC 28217 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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
Network Capital Miami FL 09/2016 12/2016
First Direct Lending Miami FL 01/2017 06/2017
Service 1St Mortgage Miami FL 06/2017 07/2018
Ameriprise Financial Services, Inc. Coral Gables FL 08/2017 06/2018
Wells Fargo Bank, Na Miami Springs FL 09/2019 Present
Wells Fargo Clearing Services, Llc Miami Springs FL 10/2019 Present
Govworks Miami FL 08/2018 11/2018
Unemployed Miami FL 12/2018 08/2019
  • 09/2016 → 12/2016
    Network Capital
    Miami, FL
  • 01/2017 → 06/2017
    First Direct Lending
    Miami, FL
  • 06/2017 → 07/2018
    Service 1St Mortgage
    Miami, FL
  • 08/2017 → 06/2018
    Ameriprise Financial Services, Inc.
    Coral Gables, FL
  • 09/2019 → Present
    Wells Fargo Bank, Na
    Miami Springs, FL
  • 10/2019 → Present
    Wells Fargo Clearing Services, Llc
    Miami Springs, FL
  • 08/2018 → 11/2018
    Govworks
    Miami, FL
  • 12/2018 → 08/2019
    Unemployed
    Miami, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-04-09
S63 Uniform Securities Agent State Law Examination 2015-05-26
  • S66 Uniform Combined State Law Examination
    2021-04-09
  • S63 Uniform Securities Agent State Law Examination
    2015-05-26
Other Names
  • William Armando Swink
  • William Swink

View on SEC IAPD

Other Firms

FIFTH THIRD SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CREDIT UNION INVESTMENT SERVICES
CAPITAL INVESTMENT ADVISORY SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC

Other Investors

DENIS WALTER MOULTON
ERIN S KOCH
Zachary Farmer
THOMAS JAMES DONAHUE
TIMOTHY BRYANT HAMILTON
JARED REGIS GIBSON
Harrison Gray Holmes
DAVID ALAN STIFF

Other Offices

FIFTH THIRD SECURITIES, INC. · MONROE, NC
COMMONWEALTH FINANCIAL NETWORK · MONROE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MONROE, NC
CREDIT UNION INVESTMENT SERVICES · Monroe, NC
CREDIT UNION INVESTMENT SERVICES · MONROE, NC
CAPITAL INVESTMENT ADVISORY SERVICES, LLC · MONROE, NC
CETERA INVESTMENT ADVISERS LLC · MONROE, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Monroe, NC

More in Monroe, NC

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