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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 2023-07-06
NY RA APPROVED 2023-07-06
  • FL RA
    APPROVED
    Since 2023-07-06
  • NY RA
    APPROVED
    Since 2023-07-06

Branch Locations

7385 W Atlantic Ave, Delray Beach, FL 33446 • United States

1675 N Military Trail Ste 500 [F1/F5-Rbo], Boca Raton, FL 33486 • United States

5030 Linton Blvd, Delray Beach, FL 33484 • 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 Boynton Beach FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Boynton Beach FL 11/2016 06/2018
Sun Trust Investment Services Boca Raton FL 06/2018 07/2023
Wells Fargo Clearing Services, Llc Boca Raton FL 07/2023 Present
Previous Registrations
  • 2018-07-05 → 2023-08-11
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Boca Raton, FL
    Delray Beach, FL
    Boynton Beach, FL
    Delray Beach, FL
    Delray Beach, FL
    Boynton Beach, FL
    Delray Beach, FL
    Boca Raton, FL
  • 2007-03-27 → 2018-07-02
    Lake Worth, FL
    Lake Worth, FL
    Greenacres, FL
    Boynton Beach, FL
    Boynton Beach, FL
    West Palm Beach, FL
    Boynton Beach, FL
    Lake Worth, FL
    Boynton Beach, FL
    Boca Raton, FL
    Palm Springs, FL
    Delray Beach, FL
Other Businesses

MITHUN IMPACT; NOT INV RELATED; DELRAY BEACH, FL; 100% OWNERSHIP WITH SPOUSE; 06/2025; 5 HOURS PER MONTH; 0 DURING TRADING; CHRISTIAN OUTREACH, FAITH BOOKS, SELF-HELP, AND BLOG | FLUFFY'S BIG FAITH ADVENTURE; NOT INV RELATED; DELRAY BEACH, FL; AUTHOR; 07/2025; 5 HOURS PER MONTH; 0 DURING TRADING; AUTHOR OF FAITH BASED CHILDREN'S BOOK | THE LITTLE BOOK OF DOUGLETS COMMON SENSE WITH UNCOMMON STYLE; NOT INV RELATED; DELRAY BEACH, FL; BOOK; AUTHOR; START DATE: 09/19/2025; 5 HRS PER MONTH; 0 HRS DURING TRADING;| MADE FOR CHANGE ; NOT INV RELATED; DELRAY BEACH,FL; NON-FINANCIAL BOOK; START DATE: 11/05/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING;| MITHUN IMPACT BRANDED CLOTHING; NOT INV RELATED;DELRAY BEACH ,FL; FAITH-BASED CLOTHING;100% OWNERSHIP; START DATE: 04/26/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-23
S63 Uniform Securities Agent State Law Examination 1995-01-12
  • S65 Uniform Investment Adviser Law Examination
    2007-03-23
  • S63 Uniform Securities Agent State Law Examination
    1995-01-12
Other Names
  • F Douglas Mithun
  • Doug Mithun

View on SEC IAPD

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