Best Investors Account Sign in
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 2012-08-06
CA RA APPROVED 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2012-08-06
  • CA RA
    APPROVED
    Since 2003-07-01

Branch Locations

1512 Eureka Rd 3Rd Fl, Roseville, CA 95661 • 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 Roseville CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Roseville CA 11/2016 Present
Previous Registrations
  • 1997-07-08 → 2003-07-01
    Prudential Equity Group, Llc
    Roseville, CA
Other Businesses

SUGAR BOWL SKI RESORT, NOT INV RELATED, NORDEN, CA, MOUNTAIN HOST, START 2/11/2017, 10 HOURS A WEEK, ZERO DURING TRADING, ASSISTING SKIERS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-17
S63 Uniform Securities Agent State Law Examination 1990-12-27
  • S65 Uniform Investment Adviser Law Examination
    1994-03-17
  • S63 Uniform Securities Agent State Law Examination
    1990-12-27

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Roseville, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor