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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
CT RA APPROVED 2024-06-28
TX RA APPROVED_RES 2022-03-08
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2003-10-29
  • CT RA
    APPROVED
    Since 2024-06-28
  • TX RA
    APPROVED_RES
    Since 2022-03-08
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2003-10-29

Branch Locations

2500 Westchester Ave Stes 201 & 203, Purchase, NY 10577 • 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 Ardsley NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Ardsley NY 11/2016 Present
Other Businesses

RENTAL PROPERTY, INV RELATED, DANBURY, CT, 100% OWNERSHIP WITH SPOUSE, START 6/1/2013, ZERO HOURS PER MONTH, LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-09
S63 Uniform Securities Agent State Law Examination 1995-01-20
  • S65 Uniform Investment Adviser Law Examination
    2001-01-09
  • S63 Uniform Securities Agent State Law Examination
    1995-01-20
Other Names
  • Rob Hausman

View on SEC IAPD

Other Firms

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