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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 2020-02-21
TX RA APPROVED_RES 2012-02-04
MD RA APPROVED 2012-01-27
  • FL RA
    APPROVED
    Since 2020-02-21
  • TX RA
    APPROVED_RES
    Since 2012-02-04
  • MD RA
    APPROVED
    Since 2012-01-27

Branch Locations

2661 Riva Rd Ste 1020, Annapolis, MD 21401 • United States

Lothian, MD • 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 Annapolis MD 01/2012 11/2016
Wells Fargo Clearing Services, Llc Annapolis MD 11/2016 Present
Previous Registrations
Other Businesses

TRUSTEE FOR MOTHER IN LAW'S TRUST, INV RELATED, BETHANY BEACH, DE, START: 1/2/2020, 1 HR/MONTH, 0 HRS DURING TRADING.; TRUSTEE FOR FATHER IN LAW, INV RELATED, ANNAPOLIS, MD, START: 1/2/2020, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-30
  • S66 Uniform Combined State Law Examination
    2004-11-30
Other Names
  • Ken Barkman

View on SEC IAPD

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