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James Lionel Wein

Wells Fargo Clearing Services, LLC

Purchase, NY

Pleasantville, NY

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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
CA RA APPROVED 2022-05-04
NY RA APPROVED 2022-04-24
CT RA APPROVED 2014-01-27
TX RA APPROVED 2013-02-15
  • CA RA
    APPROVED
    Since 2022-05-04
  • NY RA
    APPROVED
    Since 2022-04-24
  • CT RA
    APPROVED
    Since 2014-01-27
  • TX RA
    APPROVED
    Since 2013-02-15

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • United States

Pleasantville, NY • 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 New York NY 06/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-02-05
S63 Uniform Securities Agent State Law Examination 1994-02-07
  • S65 Uniform Investment Adviser Law Examination
    1996-02-05
  • S63 Uniform Securities Agent State Law Examination
    1994-02-07

View on SEC IAPD

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GREYWOLF CAPITAL MANAGEMENT LP
OLSTEIN CAPITAL MANAGEMENT, L.P.

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ERIC ALAN BICKLER
RYAN VINCENT HETZER
SIOBHAN BRADY
Anthony Joseph DiPerri
Michael Patrick Zazuri
DYLAN William WYNNE
ROB ANTONY SABEL

Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
UBS FINANCIAL SERVICES INC. · Purchase, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY

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