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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_RES 2015-11-13
PA RA APPROVED 2002-11-14
  • TX RA
    APPROVED_RES
    Since 2015-11-13
  • PA RA
    APPROVED
    Since 2002-11-14

Branch Locations

1250 Broadcasting Rd, Wyomissing, PA 19610 • 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 Reading PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Reading PA 11/2016 Present
Other Businesses

POWER OF ATTORNEY FOR MOTHER; INV. RELATED; READING, PA; START 10/26/2017; 0 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1990-08-29
S63 Uniform Securities Agent State Law Examination 1990-07-20
  • S65 Uniform Investment Adviser Law Examination
    1990-08-29
  • S63 Uniform Securities Agent State Law Examination
    1990-07-20
Other Names
  • Tom Nein

View on SEC IAPD

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