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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 2023-09-11
NC RA APPROVED 2006-01-06
  • TX RA
    APPROVED
    Since 2023-09-11
  • NC RA
    APPROVED
    Since 2006-01-06

Branch Locations

100 Turnberry Way, Pinehurst, NC 28374 • United States

1725 N Main St, High Point, NC 27262 • 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 High Point NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc High Point NC 11/2016 Present
Previous Registrations
Other Businesses

WESTMINSTER PRESBYTERIAN CHURCH, INV RELATED, GREENSBORO, NC, ENDOWMENT COMMITTEE MEMBER, START 4/14/2015, .3 HOURS PER MONTH, .3 HOURS DURING TRADING. POWER OF ATTORNEY FOR FATHER; INV. RELATED; ELLICOTTVILLE, NC; START 10/2014; 1 HR PER MOTNH; 0 HRS DURING TRADING. A SIMPLE GESTURE; INVESTMENT RELATED; GREENSBORO,NC; TREASURER; START 1/4/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 1; HELPING WITH BUDGET, FUNDRAISING, HELPING EVALUATE WHERE THE FUNDS ARE SPENT.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-09-26
S65 Uniform Investment Adviser Law Examination 1999-10-05
S63 Uniform Securities Agent State Law Examination 1996-03-06
  • S66 Uniform Combined State Law Examination
    2000-09-26
  • S65 Uniform Investment Adviser Law Examination
    1999-10-05
  • S63 Uniform Securities Agent State Law Examination
    1996-03-06
Designations

View on SEC IAPD

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