Cody Richard Dial

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-09-23
CA	RA	APPROVED	2011-01-03
CO	RA	APPROVED	2011-01-03

TX RA
APPROVED

Since 2021-09-23
CA RA
APPROVED

Since 2011-01-03
CO RA
APPROVED

Since 2011-01-03

Branch Locations

427 Corte Madera Town Ctr, Corte Madera, CA 94925 • United States

770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • United States

800 Redwood Hwy Ste 209, Mill Valley, CA 94941 • United States

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	South San Francisco	CA	01/2011	11/2016
Wells Fargo Clearing Services, Llc	South San Francisco	CA	11/2016	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

South San Francisco, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

South San Francisco, CA

Previous Registrations

2007-01-24 → 2011-01-03

Wells Fargo Investments, Llc

Burlingame, CA

San Mateo, CA

Littleton, CO

Centennial, CO
2006-08-10 → 2006-10-31

Ameriprise Financial Services, Llc

Denver, CO

Other Businesses

RENTAL PROPERTY, INVT RELATED, DENVER, CO, 100% OWNERSHIP WITH SPOUSE/DOMESTIC PARTNER, START DATE 2/5/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-07-18

S66 Uniform Combined State Law Examination

2006-07-18

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews