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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
TX RA APPROVED 2024-10-21
VA RA APPROVED 2016-04-21
  • TX RA
    APPROVED
    Since 2024-10-21
  • VA RA
    APPROVED
    Since 2016-04-21

Branch Locations

1021 E Cary St [V2/V9-Rbo], Richmond, VA 23219 • 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 Richmond VA 02/2016 11/2016
Wells Fargo Clearing Services, Llc Richmond VA 11/2016 Present
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; DELTAVILLE,VA; 100% OWNERSHIP WITH SPOUSE; START DATE 01/01/2021; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; OWNER. 1710 NORTH END ROAD LLC; INV RELATED; DELTAVILLE, VA; 50% OWNERSHIP; START 07/17/2023; 1 HOUR PER MONTH; 0 HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-21
  • S66 Uniform Combined State Law Examination
    2016-04-21
Other Names
  • Karen Jan Smith
  • Karen Smith French
  • Karen Davis

View on SEC IAPD

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