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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
AL RA APPROVED 2025-09-24
  • AL RA
    APPROVED
    Since 2025-09-24

Branch Locations

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States

500 Colonial Promenade Pkwy, Alabaster, AL 35007 • 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 Clearing Services, Llc Birmingham AL 04/2025 Present
Wells Fargo Bank, Na Birmingham AL 08/2022 Present
On Top Freight Chicago IL 09/2021 08/2022
Bbva Dallas TX 11/2019 09/2021
Freedom Chevrolet Dallas TX 03/2019 11/2019
Gateway Buick Gmc Dallas TX 11/2016 11/2019
  • 04/2025 → Present
    Birmingham, AL
  • 08/2022 → Present
    Wells Fargo Bank, Na
    Birmingham, AL
  • 09/2021 → 08/2022
    On Top Freight
    Chicago, IL
  • 11/2019 → 09/2021
    Bbva
    Dallas, TX
  • 03/2019 → 11/2019
    Freedom Chevrolet
    Dallas, TX
  • 11/2016 → 11/2019
    Gateway Buick Gmc
    Dallas, TX
Other Businesses

UBER; NOT INV RELATED; SAN FRANCISCO, CA; DRIVER; 07/2025; 50 HOURS PER MONTH; 0 DURING TRADING; PROVIDE MEANS OF TRAVEL

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-24
S63 Uniform Securities Agent State Law Examination 2025-07-01
  • S65 Uniform Investment Adviser Law Examination
    2025-09-24
  • S63 Uniform Securities Agent State Law Examination
    2025-07-01

View on SEC IAPD

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