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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
MN RA APPROVED 2013-11-04
  • MN RA
    APPROVED
    Since 2013-11-04

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

600 S 4Th St, Minneapolis, MN 55415 • 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
Wells Fargo Advisors, Llc Minneapolis MN 08/2012 11/2016
Wells Fargo Clearing Services, Llc Minneapolis MN 11/2016 Present
Previous Registrations
  • 2011-01-03 → 2012-08-08
    San Francisco, CA
    Minneapolis, MN
    St. Louis, MO
  • 2001-07-20 → 2011-01-03
    Wells Fargo Investments, Llc
    San Francisco, CA
    San Francisco, CA
    Minneapolis, MN
    Minneapolis, MN
Other Businesses

POWER OF ATTORNEY FOR DAUGHTER; INV RELATED; SAINT PAUL, MN; POA; 04/2025; 1 HOUR PER MONTH; 0 DURING TRADING; MEDICAL AND FIDUCIARY POA | POWER OF ATTORNEY FOR DAUGHTER; INV RELATED; SAINT PAUL, MN; POA; 04/2025; 1 HOUR PER MONTH; 0 DURING TRADING; MEDICAL AND FIDUCIARY POA | GUARDIANSHIP OF DAUGHTER; NOT INV RELATED; SAINT PAUL,MN; APPOINTED GUARDIAN ; GUARDIAN/CO-GUARDIAN; START DATE: 10/28/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1992-06-24
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1992-06-24

View on SEC IAPD

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