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Howard Underwood

Wells Fargo Advisors Financial Network, LLC

St. Louis, MO

Charlotte, NC

Wells Fargo Clearing Services, LLC

St. Louis, MO

Charlotte, NC

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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-03-30
MO RA APPROVED 2025-03-05
  • NC RA
    APPROVED
    Since 2026-03-30
  • MO RA
    APPROVED
    Since 2025-03-05

Branch Locations

One North Jefferson Avenue H0004-05C, St. Louis, MO 63103 • UNITED STATES

550 S Tryon St, Charlotte, NC 28202 • United States

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-03-30
MO RA APPROVED 2016-01-06
  • NC RA
    APPROVED
    Since 2026-03-30
  • MO RA
    APPROVED
    Since 2016-01-06

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

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
Self Employed Birmingham AL 01/2004 Present
Wells Fargo Advisors Llc Saint Louis MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saint Louis MO 11/2016 Present
  • 01/2004 → Present
    Self Employed
    Birmingham, AL
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Saint Louis, MO
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Saint Louis, MO
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-12-16
S65 Uniform Investment Adviser Law Examination 1998-12-16
  • S63 Uniform Securities Agent State Law Examination
    1998-12-16
  • S65 Uniform Investment Adviser Law Examination
    1998-12-16
Other Names
  • Howard Engram Underwooodd
  • Howard Engram Underwood

View on SEC IAPD

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