Marc Phillip Ugo

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
FL	RA	APPROVED	2001-06-22

FL RA
APPROVED

Since 2001-06-22

Branch Locations

100 S Ashley Dr 9Th Fl [F6-Rbo], Tampa, FL 33602 • United States

4030 W Boy Scout Blvd Ste 150 [Fe-Rbo], Tampa, FL 33607 • 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 Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Tampa	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Tampa	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Tampa, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Tampa, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-11-11
S63	Uniform Securities Agent State Law Examination	1991-08-07

S65 Uniform Investment Adviser Law Examination

1993-11-11
S63 Uniform Securities Agent State Law Examination

1991-08-07

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

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