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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 2021-08-24
  • CO RA
    APPROVED
    Since 2021-08-24

Branch Locations

1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • United States

1242 Pearl St, Boulder, CO 80302 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Westminster CO 04/2021 Present
Wells Fargo Bank, Na Westminster CO 03/2016 Present
Other Businesses

CANDOM INC, NOT INVT RELATED, LONGMONT, CO, 100% OWNERSHIP, START DATE 5/27/2021, 5 HRS PER MONTH, 0 HRS DURING TRADING, OWNER OF BUSINESS TO DEVELOP PRODUCT TO SANITIZE CANS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-08-23
  • S66 Uniform Combined State Law Examination
    2021-08-23

View on SEC IAPD

Other Firms

Other Investors

Other Offices

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