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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 2017-01-23
NC RA APPROVED 2002-09-23
  • TX RA
    APPROVED_RES
    Since 2017-01-23
  • NC RA
    APPROVED
    Since 2002-09-23

Branch Locations

15801 Brixham Hill Ave Ste 100, Charlotte, NC 28277 • 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 Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
Previous Registrations
Other Businesses

4E REAL ESTATE LLC; INV RELATED; CHARLOTTE, NC; REAL ESTATE; 100% OWNERSHIP; START DATE 01/07/2026; 1 HOUR PER MONTH; 0 HOURS DURING TRADING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-09-19
S63 Uniform Securities Agent State Law Examination 1994-09-14
  • S65 Uniform Investment Adviser Law Examination
    1994-09-19
  • S63 Uniform Securities Agent State Law Examination
    1994-09-14

View on SEC IAPD

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