Millard F Herold

Wells Fargo Clearing Services, LLC

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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

Authority	Category	Status	Date
MD	RA	APPROVED	2019-09-27
TX	RA	APPROVED	2019-09-27

MD RA
APPROVED

Since 2019-09-27
TX RA
APPROVED

Since 2019-09-27

Branch Locations

2661 Riva Rd Ste 1020 [Dq-Rbo], Annapolis, MD 21401 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Annapolis	MD	10/2009	09/2019
Bank Of America, Na	Annapolis	MD	11/2009	09/2019
Wells Fargo Clearing Services, Llc	Annapolis	MD	09/2019	Present

10/2009 → 09/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Annapolis, MD
11/2009 → 09/2019

Bank Of America, Na

Annapolis, MD
09/2019 → Present

Wells Fargo Clearing Services, Llc

Annapolis, MD

Previous Registrations

2009-10-23 → 2019-10-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Annapolis, MD

Annapolis, MD

Annapolis, MD

Towson, MD
1998-01-01 → 2009-10-23

Banc Of America Investment Services, Inc.

Annapolis, MD

Annapolis, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-14
S63	Uniform Securities Agent State Law Examination	1994-03-16

S65 Uniform Investment Adviser Law Examination

1995-12-14
S63 Uniform Securities Agent State Law Examination

1994-03-16

Other Names

Millard Franklin Herold

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · ANNAPOLIS, MD

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ANNAPOLIS, MD

CETERA INVESTMENT ADVISERS LLC · Annapolis, MD

RCS FINANCIAL PLANNING, LLC · ANNAPOLIS, MD

AMERIPRISE FINANCIAL SERVICES, LLC · Annapolis, MD

MARINER INDEPENDENT · Annapolis, MD

EQUITABLE ADVISORS, LLC · ANNAPOLIS, MD

WELLS FARGO CLEARING SERVICES, LLC · ANNAPOLIS, MD

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