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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
NC RA APPROVED 2019-08-02
MN RA APPROVED 2013-11-15
CA RA APPROVED 2011-01-03
  • NC RA
    APPROVED
    Since 2019-08-02
  • MN RA
    APPROVED
    Since 2013-11-15
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

90 S 7Th St 10Th & 11Th Fls [Ge-Rbo], Minneapolis, MN 55402 • United States

1502 London Rd Ste 210, Duluth, MN 55812 • 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 Advisors Llc Duluth MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Duluth MN 11/2016 Present
Previous Registrations
  • 2009-05-12 → 2011-01-03
    Wells Fargo Investments, Llc
    Duluth, MN
    Silver Bay, MN
    Two Harbors, MN
  • 2007-10-23 → 2009-06-03
    Duluth, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-08-19
S63 Uniform Securities Agent State Law Examination 1993-03-04
  • S65 Uniform Investment Adviser Law Examination
    1994-08-19
  • S63 Uniform Securities Agent State Law Examination
    1993-03-04

View on SEC IAPD

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