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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_RES 2025-09-04
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2007-06-27
  • TX RA
    APPROVED_RES
    Since 2025-09-04
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2007-06-27

Branch Locations

9 Northern Blvd, Greenvale, NY 11548 • United States

68 S Service Rd Ste 200 [Yi-Rbo], Melville, NY 11747 • United States

Disclosures

1 disclosure category 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 No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Melville NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Melville NY 11/2016 Present
Previous Registrations
  • 2004-10-20 → 2007-06-19
    Banc Of America Investment Services, Inc.
    Baldwin Harbor, NY
    Long Beach, NY
    Garden City, NY
    Garden City, NY
  • 2002-08-28 → 2004-10-20
    Quick & Reilly, Inc.
    Lynbrook, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-09
S63 Uniform Securities Agent State Law Examination 1996-07-02
  • S65 Uniform Investment Adviser Law Examination
    2001-01-09
  • S63 Uniform Securities Agent State Law Examination
    1996-07-02

View on SEC IAPD

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