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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 2022-04-27
CA RA APPROVED 2021-12-03
  • TX RA
    APPROVED
    Since 2022-04-27
  • CA RA
    APPROVED
    Since 2021-12-03

Branch Locations

901 Bruce Rd Ste 240, Chico, CA 95928 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Chico CA 08/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-03
  • S66 Uniform Combined State Law Examination
    2021-12-03
Other Names
  • Laurie Louise Cernac

View on SEC IAPD

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