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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
GA RA APPROVED 2009-03-30
  • GA RA
    APPROVED
    Since 2009-03-30

Branch Locations

3280 Peachtree Rd Ne 4Th Fl [G4-Rbo], Atlanta, GA 30305 • United States

Conyers, GA • 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 Atlanta GA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 Present
Previous Registrations
  • 2000-11-16 → 2009-03-30
    Banc Of America Investment Services, Inc.
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
Other Businesses

KAPPA ALPHA PSI FRATERNITY; NOT INV REL; P.O. BOX 371068, DECATUR, GA 30037; FRATERNAL; OFFICER; JAN 2007; 12 HRS/MO NONE DURING SECS TRDG HRS; SOCIAL PLANNING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-22
S63 Uniform Securities Agent State Law Examination 1993-04-15
  • S65 Uniform Investment Adviser Law Examination
    2002-05-22
  • S63 Uniform Securities Agent State Law Examination
    1993-04-15

View on SEC IAPD

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