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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
NM RA APPROVED 2025-02-18
TX RA APPROVED 2014-03-12
  • NM RA
    APPROVED
    Since 2025-02-18
  • TX RA
    APPROVED
    Since 2014-03-12

Branch Locations

221 N Kansas St 1St Fl [Tf*/Tk-Rbo], El Paso, TX 79901 • United States

401 Sudderth Dr, Ruidoso, NM 88345 • 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 El Paso TX 02/2014 11/2016
Wells Fargo Clearing Services, Llc El Paso TX 11/2016 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY, INV RELATED, EL PASO, TX, 100% OWNERSHIP WITH SPOUSE, START 5/31/2017, 10 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD. CORN NUTS LLC, NOT INV RELATED, EL PASO, TX, 100% OWNERSHIP, START 8/31/2018, 4 HOURS PER MONTH, ZERO DURING TRADING, OVERSEE FAMILY CORN ROASTING ACTIVITIES. RENTAL PROPERTY, INV RELATED, EL PASO, TX, 100% OWNERSHIP, START 7/10/2020, 8 HOURS PER MONTH, LANDLORD. RENTAL PROPERTY, INV RELATED, EL PASO, TX, 100% OWNERSHIP, START 7/10/2020, 8 HOURS PER MONTH, LANDLORD. AMICIS REALTY, LLC, INVT RELATED, EL PASO, TX, 77% OWNERSHIP WITH SPOUSE, START DATE 9/1/2020, 4 HRS PER MONTH, 0 HRS DURING TRADING, COLLECT RENT AND INTERACT WITH TENANTS. AMICIS II, LLC, INVT RELATED, EL PASO, TX, 67% OWNERSHIP WITH SPOUSE, START DATE 12/31/2020, 8 HRS PER MONTH, 0 HRS DURING TRADING, GENERAL MANAGERIAL DECISIONS. COTTAGE CENTRAL CABINS, LLC, INVT RELATED, RUIDOSO, NM, 67% OWNERSHIP WITH SPOUSE, START DATE 12/24/2020, 10 HRS PER MONTH, 0 HRS DURING TRADING, MANAGERIAL DECISIONS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-01-06
S63 Uniform Securities Agent State Law Examination 1992-10-07
  • S65 Uniform Investment Adviser Law Examination
    1997-01-06
  • S63 Uniform Securities Agent State Law Examination
    1992-10-07
Other Names
  • Rich Lucker

View on SEC IAPD

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