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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
FL RA APPROVED 2005-07-19
  • FL RA
    APPROVED
    Since 2005-07-19

Branch Locations

100 S Ashley Dr 9Th Fl [F6-Rbo], Tampa, FL 33602 • 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 Field Rep MA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Field Rep MA 11/2016 Present
Previous Registrations
  • 2002-10-02 → 2005-06-23
    Houston, TX
  • 1992-01-13 → 2002-09-30
    Morgan Stanley Dw Inc.
    Alexandria, VA
Other Businesses

MASTER CRAFT MEMORIES, NOT INV RELATED, PLANT CITY, FL, 50% OWNERSHIP, START 2/14/2011, ZERO HOURS PER MONTH, ZERO DURING TRADING, BUILDING AND SELLING MONUMENTS.; POWER OF ATTORNEY FOR FATHER, INV RELATED, TAMPA, FL, START: 6/7/2024, 1 HOUR A MONTH, 1 HOUR DURING TRADING.; TRUSTEE FOR FATHER'S TRUST, INV RELATED, TAMPA, FL, START: 9/18/2024, 2 HOURS A MONTH, 1 HOUR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-26
S63 Uniform Securities Agent State Law Examination 1991-02-22
  • S65 Uniform Investment Adviser Law Examination
    1998-10-26
  • S63 Uniform Securities Agent State Law Examination
    1991-02-22

View on SEC IAPD

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