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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 2023-03-16
NC RA APPROVED 2018-04-04
SC RA APPROVED 2013-07-17
CA RA APPROVED 2008-05-08
  • TX RA
    APPROVED
    Since 2023-03-16
  • NC RA
    APPROVED
    Since 2018-04-04
  • SC RA
    APPROVED
    Since 2013-07-17
  • CA RA
    APPROVED
    Since 2008-05-08

Branch Locations

1220 Environ Way Ste 1220, Chapel Hill, NC 27517 • United States

15 S Main St 3Rd Fl, Greenville, SC 29601 • 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 San Francisco CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 Present
Previous Registrations
  • 2005-09-14 → 2008-03-04
    Banc Of America Investment Services, Inc.
    Palo Alto, CA
    Charlotte, NC
    Charlotte, NC
    Charlotte, NC
  • 2005-07-12 → 2005-08-22
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-11
  • S66 Uniform Combined State Law Examination
    2005-07-11
Designations

View on SEC IAPD

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