Charles Joseph Carroll

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2012-08-21
MI	RA	APPROVED	2010-08-10

FL RA
APPROVED

Since 2012-08-21
MI RA
APPROVED

Since 2010-08-10

Branch Locations

3566 Capital Ave Sw Stes 200 & 201, Battle Creek, MI 49015 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Battle Creek	MI	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Battle Creek	MI	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Battle Creek, MI
11/2016 → Present

Wells Fargo Clearing Services, Llc

Battle Creek, MI

Other Businesses

SELF-EMPLOYED MUSICIAN NO NAME; PROVIDE ENTERTAINMENT AT RESTAURANTS AND PRIVATE PARTIES; SOLE PROPRIETOR/ENTERTAINER;6 HRS/MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-06-29
S63	Uniform Securities Agent State Law Examination	1995-05-22

S66 Uniform Combined State Law Examination

2010-06-29
S63 Uniform Securities Agent State Law Examination

1995-05-22

Other Names

Chuck Joseph Carroll

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews