Best Investors Account Sign in
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
FL RA APPROVED 2013-11-14
IA RA APPROVED 2011-01-03
  • FL RA
    APPROVED
    Since 2013-11-14
  • IA RA
    APPROVED
    Since 2011-01-03

Branch Locations

Marco Island, FL • United States

6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • 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 Ankeny IA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Ankeny IA 11/2016 Present
Previous Registrations
  • 2001-10-12 → 2011-01-03
    Wells Fargo Investments, Llc
    Des Moines, IA
    Ankeny, IA
    Des Moines, IA
Other Businesses

TRUSTEE FOR SISTER'S TRUST, INV RELATED, ANKENY, IA, START: 11/18/2015, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-20
S63 Uniform Securities Agent State Law Examination 1991-10-17
  • S65 Uniform Investment Adviser Law Examination
    1998-10-20
  • S63 Uniform Securities Agent State Law Examination
    1991-10-17

View on SEC IAPD

More in Marco Island, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor