Steven Jay Simes

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-12-21
NY	RA	APPROVED	2021-07-27
CT	RA	APPROVED	2012-12-14

TX RA
APPROVED_RES

Since 2023-12-21
NY RA
APPROVED

Since 2021-07-27
CT RA
APPROVED

Since 2012-12-14

Branch Locations

1211 Ave Of The Americas 27Th Fl, New York, NY 10036 • United States

Greenwich, CT • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Greenwich	CT	12/2012	11/2016
Wells Fargo Clearing Services, Llc	Greenwich	CT	11/2016	Present

12/2012 → 11/2016

Wells Fargo Advisors Llc

Greenwich, CT
11/2016 → Present

Wells Fargo Clearing Services, Llc

Greenwich, CT

Previous Registrations

1994-01-03 → 2012-12-31

Sjs Corporation

Riverside, CT
2012-08-08 → 2012-08-08

First Allied Securities, Inc.

Great Neck, NY

Riverside, CT

Stamford, CT
2000-01-27 → 2006-04-21

Centaurus Financial, Inc.

Stamford, CT

Other Businesses

SJS INDUSTRIES LLC; INVESTMENT RELATED; GREENWICH, CT; PRIVATE INVESTMENTS; OWNER; START DATE 1990; 4 HOURS PER MONTH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-11-30
S63	Uniform Securities Agent State Law Examination	1992-11-02

S65 Uniform Investment Adviser Law Examination

1992-11-30
S63 Uniform Securities Agent State Law Examination

1992-11-02

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews