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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
UT RA APPROVED 2011-01-03
  • UT RA
    APPROVED
    Since 2011-01-03

Branch Locations

5201 Amelia Earhart Dr 2Nd & 3Rd Fls [Wt & Cst], Salt Lake City, UT 84116 • United States

84014, UT • 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 Bank Salt Lake City UT 07/2003 Present
Wells Fargo Advisors Llc Salt Lake City UT 01/2011 11/2016
Wells Fargo Clearing Services, Llc Salt Lake City UT 11/2016 Present
  • 07/2003 → Present
    Wells Fargo Bank
    Salt Lake City, UT
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Salt Lake City, UT
  • 11/2016 → Present
    Salt Lake City, UT
Previous Registrations
  • 2004-06-10 → 2011-01-03
    Wells Fargo Investments, Llc
    Salt Lake City, UT
    Salt Lake City, UT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-06-08
S63 Uniform Securities Agent State Law Examination 1993-10-06
  • S65 Uniform Investment Adviser Law Examination
    2004-06-08
  • S63 Uniform Securities Agent State Law Examination
    1993-10-06
Other Names
  • Cynthia Clement
  • Cynthia Sanders

View on SEC IAPD

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