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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 2014-04-07
MN RA APPROVED 2013-11-04
  • TX RA
    APPROVED_RES
    Since 2014-04-07
  • MN RA
    APPROVED
    Since 2013-11-04

Branch Locations

12120 Aberdeen St Ne, Blaine, MN 55449 • United States

90 S 7Th St 10Th & 11Th Fls [Gj-Rbo], Minneapolis, MN 55402 • 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
Wells Fargo Advisors Llc Blaine MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Blaine MN 11/2016 Present
Previous Registrations
  • 2005-02-07 → 2011-01-03
    Wells Fargo Investments, Llc
    Blaine, MN
    Blaine, MN
    Spring Lake Park, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-26
S63 Uniform Securities Agent State Law Examination 1993-06-29
  • S65 Uniform Investment Adviser Law Examination
    1996-07-26
  • S63 Uniform Securities Agent State Law Examination
    1993-06-29
Designations

View on SEC IAPD

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