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Samuel Christopher Stephens

Wells Fargo Clearing Services, LLC

Seattle, WA

Seattle, WA

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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 2023-09-05
WA RA APPROVED 2019-04-11
  • TX RA
    APPROVED_RES
    Since 2023-09-05
  • WA RA
    APPROVED
    Since 2019-04-11

Branch Locations

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • United States

8517 35Th Ave Ne, Seattle, WA 98115 • 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 Bank, Na Bothell WA 05/2016 Present
Wells Fargo Clearing Services, Llc Bothell WA 12/2018 Present
Lyft San Francisco CA 01/2018 08/2018
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-11
S63 Uniform Securities Agent State Law Examination 2019-03-19
  • S65 Uniform Investment Adviser Law Examination
    2019-04-11
  • S63 Uniform Securities Agent State Law Examination
    2019-03-19
Other Names
  • Sam Christopher Stephens
  • Samuel Stephens

View on SEC IAPD

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FREESTONE CAPITAL MANAGEMENT, LLC · SEATTLE, WA
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