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Joseph Dale Pollard

Wells Fargo Clearing Services, LLC

Paso Robles, CA

San Luis Obispo, CA

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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_RES 2024-11-28
CA RA APPROVED 2011-10-17
  • TX RA
    APPROVED_RES
    Since 2024-11-28
  • CA RA
    APPROVED
    Since 2011-10-17

Branch Locations

546 Spring St, Paso Robles, CA 93446 • United States

1160 Marsh St, Stes 200 & 300 [Lm*/Le-Rbo], San Luis Obispo, CA 93401 • 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 Luis Obispo CA 10/2011 11/2016
Wells Fargo Clearing Services, Llc San Luis Obispo CA 11/2016 Present
Previous Registrations
  • 2009-07-10 → 2011-10-18
    Chase Investment Services Corp.
    Paso Robles, CA
    Morro Bay, CA
    Atascadero, CA
    Los Osos, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-12
S63 Uniform Securities Agent State Law Examination 1999-06-29
  • S66 Uniform Combined State Law Examination
    2009-06-12
  • S63 Uniform Securities Agent State Law Examination
    1999-06-29
Other Names
  • Joey Pollard

View on SEC IAPD

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Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Paso Robles, CA
COMMONWEALTH FINANCIAL NETWORK · Paso Roble, CA
CETERA INVESTMENT ADVISERS LLC · PASO ROBLES, CA
LPL FINANCIAL LLC · PASO ROBLES, CA
CETERA INVESTMENT ADVISERS LLC · Paso Robles, CA
EDWARD JONES · PASO ROBLES, CA
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PASO ROBLES, CA
J.P. MORGAN SECURITIES LLC · PASO ROBLES, CA

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