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Brian Patrick Carey

Wells Fargo Clearing Services, LLC

San Jose, 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
CA RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

50 W San Fernando St Ste 1500 [Ka-Rbo], San Jose, CA 95113 • 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 Campbell CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Campbell CA 11/2016 Present
Previous Registrations
  • 2001-07-20 → 2011-01-03
    Wells Fargo Investments, Llc
    San Jose, CA
    Santa Clara, CA
    San Jose, CA
    San Jose, CA
    Campbell, CA
    San Jose, CA
    San Jose, CA
    Santa Clara, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-13
S63 Uniform Securities Agent State Law Examination 1993-08-26
  • S65 Uniform Investment Adviser Law Examination
    1998-03-13
  • S63 Uniform Securities Agent State Law Examination
    1993-08-26

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
PFG ADVISORS · San Jose, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
EQUITABLE ADVISORS, LLC · CAMPBELL, CA
ROLO VENTURES MANAGEMENT LLC · SAN JOSE, CA

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