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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
OR RA APPROVED 2009-12-15
  • OR RA
    APPROVED
    Since 2009-12-15

Branch Locations

1300 Sw 5Th Fl 18Th Fl, Portland, OR 97201 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Portland OR 12/2009 11/2016
Wells Fargo Clearing Services, Llc Portland OR 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-05-04
S63 Uniform Securities Agent State Law Examination 1998-10-02
  • S66 Uniform Combined State Law Examination
    2003-05-04
  • S63 Uniform Securities Agent State Law Examination
    1998-10-02
Other Names
  • Brian R Nelson

View on SEC IAPD

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