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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
IN RA APPROVED 2003-07-01
TX RA APPROVED_RES 2003-07-01
  • IN RA
    APPROVED
    Since 2003-07-01
  • TX RA
    APPROVED_RES
    Since 2003-07-01

Branch Locations

4101 Edison Lakes Pkwy Ste 300, Mishawaka, IN 46545 • United States

South Bend, IN • 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 South Bend IN 05/2009 11/2016
Wells Fargo Clearing Services, Llc South Bend IN 11/2016 Present
Previous Registrations
  • 1997-02-20 → 2003-07-01
    Prudential Equity Group, Llc
    South Bend, IN
Other Businesses

POWER OF ATTORNEY FOR MOTHER, INV RELATED, SOUTH BEND, IN, START: 11/03/2022, 0 HRS/MONTH, 0 HRS DURING TRADING.;| POWER OF ATTORNEY FOR FATHER, INV RELATED, SOUTH BEND, IN, START: 11/03/2022, 0 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-30
S63 Uniform Securities Agent State Law Examination 1996-07-17
  • S65 Uniform Investment Adviser Law Examination
    1996-08-30
  • S63 Uniform Securities Agent State Law Examination
    1996-07-17

View on SEC IAPD

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