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John Sumbera

Wells Fargo Clearing Services, LLC

Chapin, SC

Columbia, SC

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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
SC RA APPROVED 2005-12-01
  • SC RA
    APPROVED
    Since 2005-12-01

Branch Locations

168 Columbia Ave, Chapin, SC 29036 • United States

1320 Main St Ste 600, Columbia, SC 29201 • 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
Wachovia Bank, N.A. West Columbia SC 11/2009 Present
Wells Fargo Advisors Llc Columbia SC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Columbia SC 11/2016 Present
  • 11/2009 → Present
    Wachovia Bank, N.A.
    West Columbia, SC
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Columbia, SC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Columbia, SC
Previous Registrations
  • 2005-01-14 → 2005-10-21
    Waddell & Reed
    Columbia, SC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-01-13
S63 Uniform Securities Agent State Law Examination 2004-10-11
  • S65 Uniform Investment Adviser Law Examination
    2005-01-13
  • S63 Uniform Securities Agent State Law Examination
    2004-10-11

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · CHAPIN, SC
MML INVESTORS SERVICES, LLC · CHAPIN, SC
KEEN CAPITAL, LTD · CHAPIN, SC
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EDWARD JONES · CHAPIN, SC
KEEN CAPITAL, LTD · CHAPIN, SC
B. RILEY WEALTH ADVISORS, INC. · Chapin, SC
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