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James Francis Mcguirk

Wells Fargo Clearing Services, LLC

Beverly Hills, CA

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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
CA RA APPROVED 2021-10-25
  • CA RA
    APPROVED
    Since 2021-10-25

Branch Locations

433 N Camden Dr 9Th & 12Th Fls [La-Rbo], Beverly Hills, CA 90210 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc. Beverly Hills CA 06/2006 08/2021
Wells Fargo Clearing Services, Llc Beverly Hills CA 08/2021 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-12-22
S63 Uniform Securities Agent State Law Examination 1992-04-04
  • S65 Uniform Investment Adviser Law Examination
    2021-12-22
  • S63 Uniform Securities Agent State Law Examination
    1992-04-04

View on SEC IAPD

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