Darin England Mock

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-06-10
NC	RA	APPROVED	2014-04-25

TX RA
APPROVED_RES

Since 2024-06-10
NC RA
APPROVED

Since 2014-04-25

Branch Locations

Lake Lure, NC • United States

Raleigh, NC • United States

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Raleigh	NC	04/2014	11/2016
Wells Fargo Clearing Services, Llc	Raleigh	NC	11/2016	Present

04/2014 → 11/2016

Wells Fargo Advisors, Llc

Raleigh, NC
11/2016 → Present

Wells Fargo Clearing Services, Llc

Raleigh, NC

Previous Registrations

2009-10-23 → 2014-04-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Raleigh, NC

Raleigh, NC

Raleigh, NC
2003-04-15 → 2009-10-23

Banc Of America Investment Services, Inc.

Raleigh, NC

Raleigh, NC

Other Businesses

LOGOCUFFS, INV. RELATED, RALEIGH, NC. 100% OWNERS, START: 11/4/18, 4 HOURS/MONTH, 0 DURING TRADING, SPECIALTY CUFF LINKS. GOTIME SIGNAL; INV RELATED;RALEIGH,NC; SOFTWARE AND TECHNOLOGY BUSINESS;100% OWNERSHIP; START DATE: 12/01/2025; 15 HRS PER MONTH; 15 HRS DURING TRADING;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-07-31
S63	Uniform Securities Agent State Law Examination	1993-09-03

S66 Uniform Combined State Law Examination

2003-07-31
S63 Uniform Securities Agent State Law Examination

1993-09-03

View on SEC IAPD