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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
UT RA APPROVED 2014-09-09
  • UT RA
    APPROVED
    Since 2014-09-09

Branch Locations

299 S Main St 7Th Fl [Mk/Me-Rbo], Salt Lake City, UT 84111 • United States

5 S Main St, Heber City, UT 84032 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank Na Park City UT 07/2000 Present
Wells Fargo Advisors Llc Park City UT 06/2014 11/2016
Wells Fargo Clearing Services, Llc Park City UT 11/2016 Present
  • 07/2000 → Present
    Wells Fargo Bank Na
    Park City, UT
  • 06/2014 → 11/2016
    Wells Fargo Advisors Llc
    Park City, UT
  • 11/2016 → Present
    Park City, UT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-08
S63 Uniform Securities Agent State Law Examination 2014-08-12
  • S65 Uniform Investment Adviser Law Examination
    2014-09-08
  • S63 Uniform Securities Agent State Law Examination
    2014-08-12

View on SEC IAPD

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