William Todd Frey

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
OR	RA	APPROVED	2018-02-23
TX	RA	APPROVED	2018-02-16

OR RA
APPROVED

Since 2018-02-23
TX RA
APPROVED

Since 2018-02-16

Branch Locations

5400 Sw Meadows Rd Stes 200 & 250, Lake Oswego, OR 97035 • United States

1300 Sw 5Th Fl 18Th Fl, Portland, OR 97201 • United States

Newberg, OR • 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

Organization	City	State	From	To
Rbc Capital Markets Corporation	Portland	OR	03/2008	02/2018
Wells Fargo Clearing Services, Llc	Lake Oswego	OR	02/2018	Present

03/2008 → 02/2018

Rbc Capital Markets Corporation

Portland, OR
02/2018 → Present

Wells Fargo Clearing Services, Llc

Lake Oswego, OR

Previous Registrations

2007-07-09 → 2018-02-27

Rbc Capital Markets, Llc

Portland, OR

Corvallis, OR

Lake Oswego, OR

Portland, OR

Lake Oswego, OR

Other Businesses

FREY FAMILY FARM, NOT INV RELATED, NEWBERG, OR, 100% OWNERSHIP, START 2/19/2018, FARMING. RISEN MEDICAL LLC; INV RELATED;BEND,OR; MEDICAL SALES ;0.1% OWNERSHIP; START DATE: 07/29/2026; 0.1 HRS PER MONTH; 0.1 HRS DURING TRADING;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-07-05
S63	Uniform Securities Agent State Law Examination	1994-04-29

S66 Uniform Combined State Law Examination

2007-07-05
S63 Uniform Securities Agent State Law Examination

1994-04-29

Other Names

William T Frey

View on SEC IAPD