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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 2010-09-23
  • CA RA
    APPROVED
    Since 2010-09-23

Branch Locations

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank, N.A. Huntington Beach CA 10/2010 Present
Wells Fargo Advisors Llc Huntington Beach CA 10/2010 11/2016
Wells Fargo Clearing Services, Llc Huntington Beach CA 11/2016 Present
  • 10/2010 → Present
    Wells Fargo Bank, N.A.
    Huntington Beach, CA
  • 10/2010 → 11/2016
    Wells Fargo Advisors Llc
    Huntington Beach, CA
  • 11/2016 → Present
    Huntington Beach, CA
Previous Registrations
  • 2007-03-26 → 2010-09-27
    Wells Fargo Investments, Llc
    Anaheim, CA
    Orange, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-03-22
  • S66 Uniform Combined State Law Examination
    2007-03-22

View on SEC IAPD

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