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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 2016-01-22
NC RA APPROVED 2012-05-17
  • TX RA
    APPROVED_RES
    Since 2016-01-22
  • NC RA
    APPROVED
    Since 2012-05-17

Branch Locations

101 W Union 2Nd Fl, Morganton, NC 28655 • United States

130 Harbour Pl Dr Ste 200, Davidson, NC 28036 • 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 Newton NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Newton NC 11/2016 Present
Other Businesses

WAYNES AUTO SALES INC; NOT INVESTMENT RELATED; PR-OWNED AUTOMOBILE DEALERSHIP; VP/SECRETARY/BOOKKEEPER; 2 HRS DEVOTED WEEKLY; NOT DURING TRADING HOURS. - NOTARY PUBLIC; NOT INVESTMENT RELATED; NOTARIZE DOCUMENTS; 15 MINUTES PER MONTH DEVOTED DURING TRADING HOURS. POWER OF ATTORNEY - SON; INV RELATED; VALE, NC; POA; START DATE: 11/06/2025; 1 HRS PER MONTH; 1 HRS DURING TRADING; | POWER OF ATTORNEY FOR MOTHER INLAW; INV RELATED; VALE, NC; POA; START DATE: 01/01/2026; 1 HRS PER MONTH; 1 HRS DURING TRADING; |

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-04
S63 Uniform Securities Agent State Law Examination 1996-04-29
  • S66 Uniform Combined State Law Examination
    2012-05-04
  • S63 Uniform Securities Agent State Law Examination
    1996-04-29

View on SEC IAPD

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