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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
PA RA APPROVED 2003-06-03
  • PA RA
    APPROVED
    Since 2003-06-03

Branch Locations

1250 Broadcasting Rd [L4-Rbo], Wyomissing, PA 19610 • United States

1 Meridian Blvd Ste 3B01 [Support Center], Wyomissing, PA 19610 • 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 Lancaster PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Lancaster PA 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-31
S63 Uniform Securities Agent State Law Examination 1992-08-05
  • S65 Uniform Investment Adviser Law Examination
    1998-08-31
  • S63 Uniform Securities Agent State Law Examination
    1992-08-05

View on SEC IAPD

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