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Samuel David Dalby

Wells Fargo Clearing Services, LLC

York, PA

New Cumberland, PA

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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
PA RA APPROVED 2007-09-24
  • PA RA
    APPROVED
    Since 2007-09-24

Branch Locations

221 W Philadelphia St Ste 112E, York, PA 17401 • United States

New Cumberland, PA • 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 York PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc York PA 11/2016 Present
Other Businesses

POWER OF ATTORNEY FOR UNCLE, INV RELATED, NEW CUMBERLAND, PA; POA; 12/03/2024; 1 HOUR PER MONTH; NO HOURS DURING TRADING HOURS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-07
S63 Uniform Securities Agent State Law Examination 1994-02-10
  • S65 Uniform Investment Adviser Law Examination
    1994-03-07
  • S63 Uniform Securities Agent State Law Examination
    1994-02-10
Other Names
  • Samuel D Dalby

View on SEC IAPD

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