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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 2010-11-01
  • TX RA
    APPROVED_RES
    Since 2010-11-01

Branch Locations

18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • 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 Scottsdale AZ 10/2010 11/2016
Wells Fargo Clearing Services, Llc Scottsdale AZ 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2010-11-10
    Scottsdale, AZ
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Scottsdale, AZ
  • 2006-09-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-27
S63 Uniform Securities Agent State Law Examination 1992-06-01
  • S65 Uniform Investment Adviser Law Examination
    1996-06-27
  • S63 Uniform Securities Agent State Law Examination
    1992-06-01

View on SEC IAPD

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