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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
CA RA APPROVED 2022-12-15
TX RA APPROVED_RES 2014-09-29
NJ RA APPROVED 2008-01-01
  • CA RA
    APPROVED
    Since 2022-12-15
  • TX RA
    APPROVED_RES
    Since 2014-09-29
  • NJ RA
    APPROVED
    Since 2008-01-01

Branch Locations

600 W Broadway Ste 1450 One America Plaza, San Diego, CA 92101 • United States

San Diego, CA • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Warren NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Warren NJ 11/2016 Present
Previous Registrations
  • 2005-01-24 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Moristown, NJ
    Morristown, NJ
    St. Louis, MO
Other Businesses

RENTAL PROPERTY, INVT RELATED, SAN DIEGO, CA, 100% OWNERSHIP, START DATE 7/1/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, NO DUTIES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-01-21
  • S66 Uniform Combined State Law Examination
    2005-01-21

View on SEC IAPD

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