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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 2020-05-02
NC RA APPROVED 2013-02-25
  • TX RA
    APPROVED_RES
    Since 2020-05-02
  • NC RA
    APPROVED
    Since 2013-02-25

Branch Locations

6752 Parker Farm Dr Ste 300, Wilmington, NC 28405 • United States

400 S Front St, New Bern, NC 28560 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank Na New Bern NC 11/2010 Present
Wells Fargo Advisors Llc New Bern NC 10/2012 11/2016
Wells Fargo Clearing Services, Llc New Bern NC 11/2016 Present
  • 11/2010 → Present
    Wells Fargo Bank Na
    New Bern, NC
  • 10/2012 → 11/2016
    Wells Fargo Advisors Llc
    New Bern, NC
  • 11/2016 → Present
    New Bern, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-21
S63 Uniform Securities Agent State Law Examination 2012-12-06
  • S65 Uniform Investment Adviser Law Examination
    2013-02-21
  • S63 Uniform Securities Agent State Law Examination
    2012-12-06
Other Names
  • Keith Howell

View on SEC IAPD

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