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Rose M Faranal

Wells Fargo Clearing Services, LLC

Shelbyville, TN

Los Angeles, CA

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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 2026-06-02
  • TX RA
    APPROVED_RES
    Since 2026-06-02

Branch Locations

Shelbyville, TN • United States

1999 Avenue Of The Stars Ste 2200, Los Angeles, CA 90067 • 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
Ubs Financial Services Inc. Century City CA 06/2015 01/2025
Wells Fargo Clearing Services, Llc Los Angeles CA 02/2025 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-07-21
  • S63 Uniform Securities Agent State Law Examination
    1993-07-21
Other Names
  • Rose Mary Faranal

View on SEC IAPD

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