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Christopher Clay Friend

Wells Fargo Clearing Services, LLC

Charlotte, NC

Hendersonville, NC

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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
NC RA APPROVED 2024-08-01
  • NC RA
    APPROVED
    Since 2024-08-01

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

301 S Main St, Hendersonville, NC 28792 • 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
Scottrade Greenville SC 06/2016 02/2018
Td Ameritrade, Inc. Greenville SC 02/2018 10/2022
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 10/2022
Wells Fargo Clearing Services, Llc Burnsville NC 06/2024 Present
Wells Fargo Bank, Na Burnsville NC 06/2024 Present
Self Employed Caregiver Greenville SC 10/2022 06/2024
  • 06/2016 → 02/2018
    Scottrade
    Greenville, SC
  • 02/2018 → 10/2022
    Td Ameritrade, Inc.
    Greenville, SC
  • 02/2018 → 10/2022
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 06/2024 → Present
    Wells Fargo Clearing Services, Llc
    Burnsville, NC
  • 06/2024 → Present
    Wells Fargo Bank, Na
    Burnsville, NC
  • 10/2022 → 06/2024
    Self Employed Caregiver
    Greenville, SC
Previous Registrations
  • 2022-01-26 → 2022-10-05
    Charles Schwab & Co., Inc.
    Greenville, SC
  • 2018-02-27 → 2022-10-05
    Td Ameritrade, Inc.
    Greenville, SC
  • 2018-02-26 → 2022-10-05
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Greenville, SC
    Greenville, SC
    Greenville, SC
  • 2017-01-26 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2016-02-05 → 2016-06-06
    Quest Capital Strategies, Inc.
    Simpsonville, SC
    Laguna Hills, CA
    Laguna Hills, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-05
S63 Uniform Securities Agent State Law Examination 1994-01-21
  • S66 Uniform Combined State Law Examination
    2016-02-05
  • S63 Uniform Securities Agent State Law Examination
    1994-01-21
Other Names
  • Chris Friend
  • Christopher Clay Friend
  • Christopher Friend

View on SEC IAPD

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