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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
GA RA APPROVED 2023-05-26
TX RA APPROVED 2021-03-02
IL RA APPROVED 2003-07-01
  • GA RA
    APPROVED
    Since 2023-05-26
  • TX RA
    APPROVED
    Since 2021-03-02
  • IL RA
    APPROVED
    Since 2003-07-01

Branch Locations

2056 Westings Ave Ste 500, Naperville, IL 60563 • United States

Greensboro, GA • 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 Naperville IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Naperville IL 11/2016 Present
Previous Registrations
  • 2001-05-24 → 2003-07-01
    Prudential Equity Group, Llc
    Oak Brook Terrace, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-02-04
S63 Uniform Securities Agent State Law Examination 1992-02-11
  • S65 Uniform Investment Adviser Law Examination
    1994-02-04
  • S63 Uniform Securities Agent State Law Examination
    1992-02-11
Designations
Other Names
  • Ron Carter

View on SEC IAPD

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