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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 2014-01-14
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2014-01-14
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • 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 Corte Madera CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Corte Madera CA 11/2016 Present
Previous Registrations
  • 2009-06-08 → 2011-01-03
    Wells Fargo Investments, Llc
    Corte Madera, CA
  • 2007-06-14 → 2008-08-08
    Morgan Stanley & Co. Llc
    San Rafael, CA
    San Rafael, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-11
S63 Uniform Securities Agent State Law Examination 2006-04-26
  • S66 Uniform Combined State Law Examination
    2007-06-11
  • S63 Uniform Securities Agent State Law Examination
    2006-04-26

View on SEC IAPD

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