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Philip Thomas Winterson

Wells Fargo Clearing Services, LLC

Los Angeles, CA

Beverly Hills, CA

Beverly Hills, CA

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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
CA RA APPROVED 2011-02-18
  • CA RA
    APPROVED
    Since 2011-02-18

Branch Locations

11601 Wilshire Blvd Fl 17 [Ln-Rbo], Los Angeles, CA 90025 • United States

433 N Camden Dr 9Th & 12Th Fls [La-Rbo], Beverly Hills, CA 90210 • United States

433 N Camden Dr 9Th & 12Th Fls, Beverly Hills, CA 90210 • 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 Los Angeles CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 Present
Previous Registrations
  • 2002-06-04 → 2006-05-25
    Citicorp Investment Services
    Los Angeles, CA
    Marina Del Rey, CA
    Rancho Palos Verdes, CA
    Los Angeles, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-12
S63 Uniform Securities Agent State Law Examination 1991-03-01
  • S65 Uniform Investment Adviser Law Examination
    1999-04-12
  • S63 Uniform Securities Agent State Law Examination
    1991-03-01
Other Names
  • Philip Thomas Winterson
  • Philip Thomas Winterson

View on SEC IAPD

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POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
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NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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