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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
AZ RA APPROVED 2021-03-18
NJ RA APPROVED 2020-05-14
TX RA APPROVED_RES 2020-05-12
  • AZ RA
    APPROVED
    Since 2021-03-18
  • NJ RA
    APPROVED
    Since 2020-05-14
  • TX RA
    APPROVED_RES
    Since 2020-05-12

Branch Locations

18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • United States

461 From Road Suite 101, Paramus, NJ 07652 • 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
Rbc Capital Markets, Llc Paramus NJ 01/2012 05/2020
Wells Fargo Clearing Services, Llc. Paramus NJ 05/2020 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-07-26
S63 Uniform Securities Agent State Law Examination 1992-04-07
  • S65 Uniform Investment Adviser Law Examination
    2012-07-26
  • S63 Uniform Securities Agent State Law Examination
    1992-04-07

View on SEC IAPD

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