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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 2018-04-11
  • FL RA
    APPROVED
    Since 2018-04-11

Branch Locations

9110 Strada Pl 3Rd Floor [F9-Rbo], Naples, FL 34108 • United States

2470 Vanderbilt Beach Rd, Naples, FL 34109 • United States

12604 Tamiami Trail E, Naples, FL 34113 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank N.A. Naples FL 10/2010 12/2017
Wells Fargo Clearing Services, Llc Naples FL 01/2018 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-27
S63 Uniform Securities Agent State Law Examination 2005-02-16
  • S66 Uniform Combined State Law Examination
    2018-03-27
  • S63 Uniform Securities Agent State Law Examination
    2005-02-16

View on SEC IAPD

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