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Christopher Lee Walker

Wells Fargo Clearing Services, LLC

Mission Woods, KS

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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
KS RA APPROVED 2015-09-02
MO RA APPROVED 2003-07-01
  • KS RA
    APPROVED
    Since 2015-09-02
  • MO RA
    APPROVED
    Since 2003-07-01

Branch Locations

1900 Shawnee Mission Pkwy Ste 110, Mission Woods, KS 66205 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Kansas City MO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Kansas City MO 11/2016 Present
Previous Registrations
  • 2001-05-23 → 2003-07-01
    Prudential Equity Group, Llc
    Kansas City, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-14
S63 Uniform Securities Agent State Law Examination 1994-04-12
  • S65 Uniform Investment Adviser Law Examination
    1994-04-14
  • S63 Uniform Securities Agent State Law Examination
    1994-04-12
Other Names
  • Christopher Lee Walker

View on SEC IAPD

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