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Wendy Ellen Hallswift

Wells Fargo Clearing Services, LLC

Syracuse, NY

Johnson City, TN

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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
NY RA APPROVED 2021-07-27
TN RA APPROVED 2019-11-19
NJ RA APPROVED 2014-01-24
TX RA APPROVED 2014-01-06
  • NY RA
    APPROVED
    Since 2021-07-27
  • TN RA
    APPROVED
    Since 2019-11-19
  • NJ RA
    APPROVED
    Since 2014-01-24
  • TX RA
    APPROVED
    Since 2014-01-06

Branch Locations

500 Plum St Bridgewater Place, Syracuse, NY 13204 • United States

203 Broyles Dr Ste 200, Johnson City, TN 37601 • 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 Advisors, Llc Syracuse NY 06/2003 11/2016
Wells Fargo Clearing Services, Llc Syracuse NY 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-01-02
S65 Uniform Investment Adviser Law Examination 1999-12-06
S63 Uniform Securities Agent State Law Examination 1993-10-20
  • S66 Uniform Combined State Law Examination
    2014-01-02
  • S65 Uniform Investment Adviser Law Examination
    1999-12-06
  • S63 Uniform Securities Agent State Law Examination
    1993-10-20
Other Names
  • Wendy Ellen Hall
  • Wendy E Schweitzer
  • Wendy Shweitzer

View on SEC IAPD

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