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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
FL RA APPROVED 2013-05-17
TX RA APPROVED_RES 2013-03-19
AL RA APPROVED 2008-04-30
  • FL RA
    APPROVED
    Since 2013-05-17
  • TX RA
    APPROVED_RES
    Since 2013-03-19
  • AL RA
    APPROVED
    Since 2008-04-30

Branch Locations

Sterrett, AL • United States

2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • 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 Advisors Llc Hoover AL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hoover AL 11/2016 Present
Previous Registrations
Other Businesses

PIONEER LAKE HOMEOWNERS ASSOCIATION, NOT INV. RELATED, STERRETT, AL. BOARD MEMBER, START: 9/1/20, 1 HOURS/MONTH, 0 DURING TRADING, ATTENDING MEETINGS TO REVIEW THE BUDGET AND DISCUSS VARIOUS OVERSIGHT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-29
S63 Uniform Securities Agent State Law Examination 1996-01-02
  • S65 Uniform Investment Adviser Law Examination
    1996-04-29
  • S63 Uniform Securities Agent State Law Examination
    1996-01-02

View on SEC IAPD

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