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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
NC RA APPROVED 2023-03-03
FL RA APPROVED 2014-02-19
TX RA APPROVED 2013-10-16
NJ RA APPROVED 2008-01-01
  • NC RA
    APPROVED
    Since 2023-03-03
  • FL RA
    APPROVED
    Since 2014-02-19
  • TX RA
    APPROVED
    Since 2013-10-16
  • NJ RA
    APPROVED
    Since 2008-01-01

Branch Locations

333 Route 46 W Ste 101, Mountain Lakes, NJ 07046 • United States

Pinehurst, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bankmark Morris Plains NJ 05/1992 Present
Wells Fargo Advisors Llc Rockaway NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Rockaway NJ 11/2016 Present
  • 05/1992 → Present
    Bankmark
    Morris Plains, NJ
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Rockaway, NJ
  • 11/2016 → Present
    Rockaway, NJ
Previous Registrations
  • 2003-10-15 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Rockaway, NJ
    Rockaway, NJ
    St. Louis, MO
Other Businesses

OUR LADY QUEEN OF PEACE CHURCH, INV RELATED, HEWITT, NJ, FINANCE COMMITTEE MEMBER, START 3/21/2016, .25 HOURS PER MONTH, ZERO DURING TRADING. RENTAL PROPERTY; INV. RELATED; PINEHURST,NC; 100% OWNERSHIP WITH SPOUSE; START DATE 10/22/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. KNIGHTS OF COLUMBUS COUNCIL 6139, NOT INVT RELATED, WEST MILFORD, NJ, BOARD OF TRUSTEES, START DATE 7/24/2024, 4 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, MONITORING INFLOWS AND OUTFLOWS, INCOMING BILLS AND COMMUNICATIONS FOR COUNCIL 6139, PARTICIPATING IN SEMI ANNUAL AUDITS AND EXPENSE APPROVAL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-28
S63 Uniform Securities Agent State Law Examination 1994-05-31
  • S65 Uniform Investment Adviser Law Examination
    2016-03-28
  • S63 Uniform Securities Agent State Law Examination
    1994-05-31
Designations

View on SEC IAPD

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