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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
CO RA APPROVED 2023-12-22
  • CO RA
    APPROVED
    Since 2023-12-22

Branch Locations

5613 Dtc Parkway 9Th Fl [Mb-Rbo], Greenwood Village, CO 80111 • United States

66 W Springer Dr, Highlands Ranch, CO 80129 • 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
Jpmorgan Securities Llc Indianapolis IN 12/2015 10/2019
Jp Morgan Chase Bank Indianapolis IN 12/2015 10/2019
Jp Morgan Chase Bank Greenwood Village CO 10/2019 06/2021
Jp Morgan Securities Llc Greenwood Village CO 10/2019 06/2021
Fidelity Investments Greenwood Village CO 07/2021 02/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Greenwood Village CO 02/2023 11/2023
Bank Of America, N.A. Greenwood Village CO 04/2023 11/2023
Wells Fargo Clearing Services, Llc Golden CO 12/2023 Present
Wells Fargo Bank, Na Golden CO 12/2023 Present
  • 12/2015 → 10/2019
    Jpmorgan Securities Llc
    Indianapolis, IN
  • 12/2015 → 10/2019
    Jp Morgan Chase Bank
    Indianapolis, IN
  • 10/2019 → 06/2021
    Jp Morgan Chase Bank
    Greenwood Village, CO
  • 10/2019 → 06/2021
    Jp Morgan Securities Llc
    Greenwood Village, CO
  • 07/2021 → 02/2023
    Fidelity Investments
    Greenwood Village, CO
  • 02/2023 → 11/2023
    Greenwood Village, CO
  • 04/2023 → 11/2023
    Bank Of America, N.A.
    Greenwood Village, CO
  • 12/2023 → Present
    Golden, CO
  • 12/2023 → Present
    Wells Fargo Bank, Na
    Golden, CO
Previous Registrations
Other Businesses

AMAZON FLEX; NOT INV RELATED; DENVER, CO; DELIVERY DRIVER; START 06/21/2024; 20 HOURS PER MONTH; 0 HOURS DURING TRADING; DELIVERY DRIVER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-01-03
S63 Uniform Securities Agent State Law Examination 2016-02-12
  • S66 Uniform Combined State Law Examination
    2022-01-03
  • S63 Uniform Securities Agent State Law Examination
    2016-02-12
Other Names
  • Ross E Keck
  • Ross Keck
  • Ross Edwards Keck

View on SEC IAPD

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