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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 2018-01-03
AZ RA APPROVED 2017-12-11
NV RA APPROVED 2014-11-05
  • TX RA
    APPROVED_RES
    Since 2018-01-03
  • AZ RA
    APPROVED
    Since 2017-12-11
  • NV RA
    APPROVED
    Since 2014-11-05

Branch Locations

8474 Rozita Lee Ave Ste 400, Las Vegas, NV 89113 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Las Vegas NV 10/2014 11/2016
Wells Fargo Clearing Services, Llc Las Vegas NV 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-06
S63 Uniform Securities Agent State Law Examination 2009-06-14
  • S66 Uniform Combined State Law Examination
    2009-11-06
  • S63 Uniform Securities Agent State Law Examination
    2009-06-14
Other Names
  • Sheri L Nims

View on SEC IAPD

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