Samuel Johnston Sugg

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-04-27
NC	RA	APPROVED	2009-03-31

TX RA
APPROVED

Since 2023-04-27
NC RA
APPROVED

Since 2009-03-31

Branch Locations

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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

Organization	City	State	From	To
Wachovia Bank, N.A.	Raleigh	NC	04/1991	Present
Wells Fargo Advisors Llc	Raleigh	NC	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Raleigh	NC	11/2016	Present

04/1991 → Present

Wachovia Bank, N.A.

Raleigh, NC
05/2009 → 11/2016

Wells Fargo Advisors Llc

Raleigh, NC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Raleigh, NC

Other Businesses

RBSM LLC, INV RELATED, RALEIGH, NC, 25% OWNER, START: 12/27/2017, 1 HOUR PER YEAR. DUTIES: SECRETARY OF STATE FILING. 606 WADE LLC, NOT INVT RELATED, RALEIGH, NC, 100% OWNERSHIP WITH SPOUSE, START DATE 1/31/2022, 0 HRS PER MONTH, 0 HRS DURING TRADING, LLC TO HOLD COMMERCIAL PROPERTY FOR SPOUSE ANTIQUE BUSINESS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-10-28

S63 Uniform Securities Agent State Law Examination

2008-10-28

Designations

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews