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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 2013-01-25
MD RA APPROVED 2013-01-23
  • TX RA
    APPROVED_RES
    Since 2013-01-25
  • MD RA
    APPROVED
    Since 2013-01-23

Branch Locations

989 Fairmount Ave, Towson, MD 21204 • United States

2847 Smith Ave, Baltimore, MD 21209 • United States

230 Schilling Cir Ste 300, Hunt Valley, MD 21031 • United States

230 Schilling Circle [Vy-Rbo], Hunt Valley, MD 21031 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Baltimore MD 01/2013 11/2016
Wells Fargo Clearing Services, Llc Baltimore MD 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2013-02-08
    Hunt Valley, MD
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Hunt Valley, MD
  • 2005-09-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Lutherville, MD
    Elliciott City, MD
    Ellicott City, MD
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; BALTIMORE. MD; 100% OWNERSHIP WITH SPOUSE; START DATE 7/1/17; 5 HOURS PER MONTH / 0 DURING TRADING. LANDLORD; RENTAL PROPERTY, INV RELATED, BALTIMORE, MD, 100% OWNERSHIP, START: 3/1/2019, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-09-06
  • S66 Uniform Combined State Law Examination
    2005-09-06
Designations

View on SEC IAPD

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