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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
TX RA APPROVED_RES 2015-12-01
NV RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2015-12-01
  • NV RA
    APPROVED
    Since 2011-01-03

Branch Locations

8474 Rozita Lee Ave Ste 400 [Sd-Rbo], Las Vegas, NV 89113 • United States

1900 Village Center Cir, Las Vegas, NV 89134 • United States

10090 W Tropicana Ave, Las Vegas, NV 89147 • United States

11730 W Charleston Blvd, Las Vegas, NV 89135 • United States

9410 W Lake Mead Blvd, Las Vegas, NV 89134 • United States

611 W Mesquite Blvd, Mesquite, NV 89027 • 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 Las Vegas NV 01/2011 11/2016
Wells Fargo Clearing Services, Llc Las Vegas NV 11/2016 Present
Previous Registrations
  • 2006-10-05 → 2011-01-03
    Wells Fargo Investments, Llc
    Las Vegas, NV
  • 2005-03-21 → 2006-10-10
    Las Vegas, NV
    Las Vegas, NV
  • 2004-10-20 → 2005-03-16
    Banc Of America Investment Services, Inc.
    Las Vegas, NV
  • 2004-02-19 → 2004-10-20
    Quick & Reilly, Inc.
    Las Vegas, NV
  • 2003-11-13 → 2004-02-27
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-15
S65 Uniform Investment Adviser Law Examination 1993-04-03
S63 Uniform Securities Agent State Law Examination 1993-02-12
  • S66 Uniform Combined State Law Examination
    2005-11-15
  • S65 Uniform Investment Adviser Law Examination
    1993-04-03
  • S63 Uniform Securities Agent State Law Examination
    1993-02-12

View on SEC IAPD

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