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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
NJ RA APPROVED 2005-06-24
  • NJ RA
    APPROVED
    Since 2005-06-24

Branch Locations

1600 Highway 35 And Deal Rd [J6/J9-Rbo], Oakhurst, NJ 07755 • United States

1817 Mount Holly Rd, Burlington, NJ 08016 • United States

284 Dunns Mill Rd, Bordentown, NJ 08505 • 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 Burlington NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Burlington NJ 11/2016 Present
Previous Registrations
  • 2004-10-20 → 2005-05-16
    Banc Of America Investment Services, Inc.
    Mt. Laurel, NJ
  • 2002-09-23 → 2004-10-20
    Quick & Reilly, Inc.
    Haddonfield, NJ
  • 2002-07-29 → 2002-09-18
    Prudential Equity Group, Llc
    Marlton, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-23
S63 Uniform Securities Agent State Law Examination 1993-08-06
  • S65 Uniform Investment Adviser Law Examination
    2002-05-23
  • S63 Uniform Securities Agent State Law Examination
    1993-08-06

View on SEC IAPD

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