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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 2017-09-25
VA RA APPROVED 2008-12-08
  • TX RA
    APPROVED_RES
    Since 2017-09-25
  • VA RA
    APPROVED
    Since 2008-12-08

Branch Locations

1021 E Cary St 22Nd Fl James Center Ii, Richmond, VA 23219 • United States

Midlothian, VA • 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
Chesterfield County Schools Chesterfield VA 02/2004 Present
Wells Fargo Advisors Llc Richmond VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Richmond VA 11/2016 Present
  • 02/2004 → Present
    Chesterfield County Schools
    Chesterfield, VA
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Richmond, VA
  • 11/2016 → Present
    Richmond, VA
Previous Registrations
  • 2006-01-24 → 2008-12-17
    Ameriprise Advisor Services, Inc.
    Midlothian, VA
    Richmond, VA
  • 2000-06-06 → 2006-01-23
    Scott & Stringfellow, Llc
    Richmond, VA
Other Businesses

RENTAL PROPERTY - 832; INV RELATED;VIRGINIA BEACH,VA; RENTAL;100% OWNERSHIP; START DATE: 07/25/2026; 32 HRS PER MONTH; - HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-05-10
S63 Uniform Securities Agent State Law Examination 1993-09-02
  • S66 Uniform Combined State Law Examination
    2000-05-10
  • S63 Uniform Securities Agent State Law Examination
    1993-09-02
Designations

View on SEC IAPD

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