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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
GA RA APPROVED 2016-02-09
  • GA RA
    APPROVED
    Since 2016-02-09

Branch Locations

3280 Peachtree Rd Ne 4Th Fl [G4-Rbo], Atlanta, GA 30305 • United States

Atlanta, GA • 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 Atlanta GA 02/2016 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 Present
Previous Registrations
  • 2003-01-17 → 2016-03-02
    Credit Suisse Securities (Usa) Llc
    Atlanta, GA
    Atlanta, GA
  • 2000-11-16 → 2003-01-17
    Pershing Llc
    Atlanta, GA
Other Businesses

ROCKAWAY INVESTMENTS LLLP; INV RELATED; CLARKESVILLE, GA; 33.3% OWNER; FAMILY INVESTMENTS; START: 7/2007; 0 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-12-21
  • S63 Uniform Securities Agent State Law Examination
    1990-12-21

View on SEC IAPD

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