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Steven James Slattery

Wells Fargo Clearing Services, LLC

Columbia, SC

Florence, SC

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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 2014-11-04
SC RA APPROVED 2014-10-27
  • TX RA
    APPROVED
    Since 2014-11-04
  • SC RA
    APPROVED
    Since 2014-10-27

Branch Locations

1320 Main St Ste 600, Columbia, SC 29201 • United States

104 David H Mcleod Blvd, Florence, SC 29501 • 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 Columbia SC 10/2014 11/2016
Wells Fargo Clearing Services, Llc Columbia SC 11/2016 Present
Previous Registrations
  • 2009-10-23 → 2014-10-27
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Camden, SC
    Columbia, SC
    Columbia, SC
    Florence, SC
    Columbia, SC
    Columbia, SC
    Columbia, SC
  • 1999-11-16 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Florence, SC
    Columbia, SC
    Florence, SC
    Columbia, SC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-07
S63 Uniform Securities Agent State Law Examination 1992-04-02
  • S65 Uniform Investment Adviser Law Examination
    1996-02-07
  • S63 Uniform Securities Agent State Law Examination
    1992-04-02

View on SEC IAPD

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Other Offices

INDEPENDENT ADVISOR ALLIANCE, LLC · Columbia, SC
APOLLON WEALTH MANAGEMENT, LLC · Columbia, SC
ABACUS PLANNING GROUP, INC. · COLUMBIA, SC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLUMBIA, SC
PARK AVENUE SECURITIES LLC · COLUMBIA, SC
EDWARD JONES · COLUMBIA, SC
CAPITAL CONSULTING GROUP, INC · COLUMBIA, SC
BEERS KIGHT FINANCIAL ADVISORS, LLC · COLUMBIA, SC

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