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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
TX RA APPROVED 2011-09-13
GA RA APPROVED 2008-01-01
  • TX RA
    APPROVED
    Since 2011-09-13
  • GA RA
    APPROVED
    Since 2008-01-01

Branch Locations

2520 Northwinds Pkwy Ste 200 Two Northwinds Center, Alpharetta, GA 30009 • 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 Duluth GA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Duluth GA 11/2016 Present
Previous Registrations
  • 2003-05-07 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Duluth, GA
    Duluth, GA
    St. Louis, MO
Other Businesses

HOMESIDE PROPERTIES HOA, NOT INVESTMENT RELATED,ALPHARETTA, GA, TREASURER, START: 10/1/2014, 4 HOURS/MONTH, 0 DURING TRADING, REVIEW BUDGET AND FINANCES OF THE HOMEOWNERS ASSOCIATION.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-05-20
  • S63 Uniform Securities Agent State Law Examination
    1991-05-20
Designations

View on SEC IAPD

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