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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 2020-12-15
  • CA RA
    APPROVED
    Since 2020-12-15

Branch Locations

2261 Del Paso Rd, Sacramento, CA 95835 • United States

400 Capitol Mall Ste 1700 [Nm-Rbo], Sacramento, CA 95814 • 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 Advisors, Llc. Sacramento CA 11/2012 11/2016
Wells Fargo Bank Na Sacramento CA 09/2009 Present
Wells Fargo Clearing Services, Llc Sacramento CA 11/2016 Present
  • 11/2012 → 11/2016
    Wells Fargo Advisors, Llc.
    Sacramento, CA
  • 09/2009 → Present
    Wells Fargo Bank Na
    Sacramento, CA
  • 11/2016 → Present
    Sacramento, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-12-15
S63 Uniform Securities Agent State Law Examination 2012-12-07
  • S65 Uniform Investment Adviser Law Examination
    2020-12-15
  • S63 Uniform Securities Agent State Law Examination
    2012-12-07

View on SEC IAPD

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