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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
TX RA APPROVED 2001-07-13
  • TX RA
    APPROVED
    Since 2001-07-13

Branch Locations

1800 Hughes Landing Blvd Ste 300, The Woodlands, TX 77380 • 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 Houston TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Houston TX 11/2016 Present
Other Businesses

SURE FINE MARKETS, 25% OWNERSHIP, INVESTMENT RELATED, LEAGUE CITY TX, 0 HOURS, 0 DUTIES, START 2007 RENTAL PROPERTY - INVESTMENT RELATED. STEAMBOAT SPRINGS, CO. CO-OWNER. START:2/19/14; 0 HRS PER MONTH. NO DUTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-01-31
S63 Uniform Securities Agent State Law Examination 1993-12-20
  • S65 Uniform Investment Adviser Law Examination
    2007-01-31
  • S63 Uniform Securities Agent State Law Examination
    1993-12-20
Designations

View on SEC IAPD

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