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Stephen Carson Sloan

Wells Fargo Clearing Services, LLC

Asheville, NC

Charlotte, NC

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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
TX RA APPROVED_RES 2024-11-08
NC RA APPROVED 2002-06-21
  • TX RA
    APPROVED_RES
    Since 2024-11-08
  • NC RA
    APPROVED
    Since 2002-06-21

Branch Locations

912 Tunnel Rd, Asheville, NC 28805 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Asheville NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Asheville NC 11/2016 Present
Previous Registrations
  • 2002-06-18 → 2002-06-21
    Wachovia Securities, Inc.
    Charlotte, NC
Other Businesses

RENTAL PROPERTY; INV RELATED; ASHEVILLE, NC; 100% OWNERSHIP WITH SPOUSE; START 1/1/2005; 0.50 HOURS PER MONTH, 0 DURING TRADING; LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-09-03
S63 Uniform Securities Agent State Law Examination 1994-06-02
  • S65 Uniform Investment Adviser Law Examination
    1999-09-03
  • S63 Uniform Securities Agent State Law Examination
    1994-06-02

View on SEC IAPD

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Other Investors

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LAURENCE J CASPER
DONALD PETER WEIDEMANN
SANDRA K NEWBERRY
JONATHAN TRAVIS PAYNE
CHRISTINA LEIGH SIMPSON
KATHLEEN CARROLL KING
AMBER DAWN MCCLEEREY

Other Offices

OPPENHEIMER & CO. INC. · ASHEVILLE, NC
CETERA INVESTMENT ADVISERS LLC · ASHEVILLE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASHEVILLE, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
EDWARD JONES · ASHEVILLE, NC
LPL FINANCIAL LLC · ASHEVILLE, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Asheville, NC

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