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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
TN RA APPROVED 2024-07-12
GA RA APPROVED 2022-12-02
TX RA APPROVED_RES 2022-11-29
  • TN RA
    APPROVED
    Since 2024-07-12
  • GA RA
    APPROVED
    Since 2022-12-02
  • TX RA
    APPROVED_RES
    Since 2022-11-29

Branch Locations

412 Georgia Ave Ste 215, Chattanooga, TN 37403 • United States

3280 Peachtree Rd Ne Ste 300, Atlanta, GA 30305 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Bank Of America,N.A. Atlanta GA 12/2009 Present
Wells Fargo Clearing Services, Llc Marietta GA 11/2022 Present
Previous Registrations
Other Businesses

RBT ENTERPRISES, LLC, NOT INVT RELATED, MONTEAGLE, TN, 50% OWNERSHIP, START DATE 01/15/2020, 20 HRS PER MONTH, 2 HRS DURING TRADING, OPERATION OF TRAVEL CENTER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-26
S63 Uniform Securities Agent State Law Examination 1992-06-24
  • S65 Uniform Investment Adviser Law Examination
    1997-08-26
  • S63 Uniform Securities Agent State Law Examination
    1992-06-24

View on SEC IAPD

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