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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 2025-10-03
TX RA APPROVED 2025-10-03
  • CA RA
    APPROVED
    Since 2025-10-03
  • TX RA
    APPROVED
    Since 2025-10-03

Branch Locations

50 W San Fernando St Ste 1500 [Support Center], San Jose, CA 95113 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley Fresno CA 10/2005 09/2025
Wells Fargo Clearing Services, Llc San Jose CA 09/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-03-29
  • S66 Uniform Combined State Law Examination
    2021-03-29

View on SEC IAPD

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