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Sean Mccarthy

Wells Fargo Clearing Services, LLC

Palm Beach, FL

Tacoma, WA

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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 2026-01-28
FL RA APPROVED 2026-01-23
  • TX RA
    APPROVED
    Since 2026-01-28
  • FL RA
    APPROVED
    Since 2026-01-23

Branch Locations

255 S County Rd 1St Fl, Palm Beach, FL 33480 • United States

1201 Pacific Ave, Tacoma, WA 98402 • 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 Clearing Services, Llc Scottsdale AZ 03/2021 Present
Wells Fargo Bank, Na Scottsdale AZ 10/2010 Present
Previous Registrations
  • 2010-04-30 → 2010-08-05
    Velle Investments, Llc
    Phoenixville, PA
Other Businesses

REVOCABLE TRUST; INV RELATED; CHATTANOOGA, TN; SUCCESSOR TRUSTEE; START DATE 09/02/2025; 1 HOUR PER MONTH; 0 HOURS DURING TRADING

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-12-11
S63 Uniform Securities Agent State Law Examination 1992-09-26
S65 Uniform Investment Adviser Law Examination 1992-09-22
  • S66 Uniform Combined State Law Examination
    2025-12-11
  • S63 Uniform Securities Agent State Law Examination
    1992-09-26
  • S65 Uniform Investment Adviser Law Examination
    1992-09-22
Designations
Other Names
  • Sean Mccarthy
  • Sean Mccarthy

View on SEC IAPD

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