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Frank Dibartolo

Wells Fargo Clearing Services, LLC

Charlotte, NC

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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 2022-03-09
NC RA APPROVED 2021-10-11
  • TX RA
    APPROVED
    Since 2022-03-09
  • NC RA
    APPROVED
    Since 2021-10-11

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Securities, Llc Charlotte NC 11/2014 04/2018
Unemployed Ch NC 04/2018 09/2018
Lps Capital Llc New York NY 10/2018 02/2019
Thrivent Investment Management Inc Gastonia NC 05/2020 10/2021
Credivia Charlotte NC 02/2019 07/2019
Unemployed Charlotte NC 07/2019 05/2020
Thrivent Financial Appleton WI 05/2020 07/2020
Thrivent Financial Appleton WI 07/2020 10/2021
Wells Fargo Clearing Services, Llc Charlotte NC 10/2021 Present
  • 11/2014 → 04/2018
    Wells Fargo Securities, Llc
    Charlotte, NC
  • 04/2018 → 09/2018
    Unemployed
    Ch, NC
  • 10/2018 → 02/2019
    Lps Capital Llc
    New York, NY
  • 05/2020 → 10/2021
    Thrivent Investment Management Inc
    Gastonia, NC
  • 02/2019 → 07/2019
    Credivia
    Charlotte, NC
  • 07/2019 → 05/2020
    Unemployed
    Charlotte, NC
  • 05/2020 → 07/2020
    Thrivent Financial
    Appleton, WI
  • 07/2020 → 10/2021
    Thrivent Financial
    Appleton, WI
  • 10/2021 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-08-13
S63 Uniform Securities Agent State Law Examination 2011-01-14
  • S65 Uniform Investment Adviser Law Examination
    2020-08-13
  • S63 Uniform Securities Agent State Law Examination
    2011-01-14

View on SEC IAPD

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