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Samuel Lawson Faria

Wells Fargo Clearing Services, LLC

Jupiter , FL

Palm Beach, FL

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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 2026-01-07
TX RA APPROVED 2026-01-05
  • FL RA
    APPROVED
    Since 2026-01-07
  • TX RA
    APPROVED
    Since 2026-01-05

Branch Locations

Jupiter , FL • United States

255 S County Rd 2Nd Fl, Palm Beach, FL 33480 • 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
Northwestern Mutual Investment Services Llc Palm Bch Gdns FL 01/2016 03/2017
Northwestern Mutual Life Insurance Company Milwaukee WI 01/2016 03/2017
Charles Schwab & Co., Inc Palm Beach Gardens FL 01/2018 01/2026
Valor Investment Management Juno Beach FL 04/2017 01/2018
Regions/Florida Health Group Jupiter FL 09/2017 01/2018
Wells Fargo Clearing Services, Llc Palm Beach FL 01/2026 Present
  • 01/2016 → 03/2017
    Northwestern Mutual Investment Services Llc
    Palm Bch Gdns, FL
  • 01/2016 → 03/2017
    Northwestern Mutual Life Insurance Company
    Milwaukee, WI
  • 01/2018 → 01/2026
    Charles Schwab & Co., Inc
    Palm Beach Gardens, FL
  • 04/2017 → 01/2018
    Valor Investment Management
    Juno Beach, FL
  • 09/2017 → 01/2018
    Regions/Florida Health Group
    Jupiter, FL
  • 01/2026 → Present
    Wells Fargo Clearing Services, Llc
    Palm Beach, FL
Previous Registrations
  • 2018-03-05 → 2026-01-17
    Charles Schwab & Co., Inc.
    West Palm Beach, FL
    Palm Beach Gardens, FL
    Plantation, FL
    West Palm Beach, FL
  • 2018-01-23 → 2018-02-15
    Valor Investment Management Llc
    Juno Beach, FL
Other Businesses

1) Cozy Vacation Rentals, LLC | Investment Related:No|6334 Barbara St.|Jupiter|FL|33458|United States|Real Estate (Non-Agent/Broker)|Manager|8/3/2023|Less than 20|0|Owner of Rental Property

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-04-26
S63 Uniform Securities Agent State Law Examination 2016-07-06
  • S66 Uniform Combined State Law Examination
    2017-04-26
  • S63 Uniform Securities Agent State Law Examination
    2016-07-06
Designations
Other Names
  • Samuel Faria
  • Samuel Lawson Faria
  • Sam Faria
  • Samuel L Faria

View on SEC IAPD

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