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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
FL RA APPROVED 2025-03-19
TX RA APPROVED_RES 2019-04-01
  • FL RA
    APPROVED
    Since 2025-03-19
  • TX RA
    APPROVED_RES
    Since 2019-04-01

Branch Locations

100 Front St Ste 1900, Worcester, MA 01608 • United States

130 Turner St Ste 800, Waltham, MA 02453 • United States

9110 Strada Pl Ste 6300 Bldg 6, Naples, FL 34108 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Wellesley Hills MA 10/2008 Present
Bank Of America,N.A. Wellesley Hills MA 06/2011 Present
Wells Fargo Clearing Services Llc Wellesley MA 03/2019 Present
Previous Registrations
Other Businesses

CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, SUDBURY, MA, START: 7/16/1990, 0 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-08-29
S63 Uniform Securities Agent State Law Examination 1993-10-12
  • S65 Uniform Investment Adviser Law Examination
    1996-08-29
  • S63 Uniform Securities Agent State Law Examination
    1993-10-12

View on SEC IAPD

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