Christopher Thomas Winter

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	2016-11-16
CA	RA	APPROVED	2009-03-05

TX RA
APPROVED_RES

Since 2016-11-16
CA RA
APPROVED

Since 2009-03-05

Branch Locations

520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Newport Beach	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Newport Beach	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Newport Beach, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Newport Beach, CA

Previous Registrations

1997-07-08 → 2009-03-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Newport Beach, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-11-08
S63	Uniform Securities Agent State Law Examination	1992-01-28

S65 Uniform Investment Adviser Law Examination

1994-11-08
S63 Uniform Securities Agent State Law Examination

1992-01-28

Other Names

Christopher T. Winter

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews