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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
CT RA APPROVED 2008-01-01
  • CT RA
    APPROVED
    Since 2008-01-01

Branch Locations

86 Denison Ave Ste 1, Mystic, CT 06355 • United States

Madison, CT • 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 Essex CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Essex CT 11/2016 Present
Previous Registrations
  • 2005-04-25 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Essex, CT
    Essex, CT
    St. Louis, MO
Other Businesses

RENTAL PROPERTY; INV. RELATED; MADISON,CT; 100% OWNERSHIP WITH SPOUSE; START DATE 12/01/2021; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-22
  • S66 Uniform Combined State Law Examination
    2005-04-22

View on SEC IAPD

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