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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
AZ RA APPROVED 2013-06-26
  • AZ RA
    APPROVED
    Since 2013-06-26

Branch Locations

Fountain Hills, AZ • United States

18700 N Hayden Rd Ste 525, Scottsdale, AZ 85255 • 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 North Scottsdale AZ 06/2013 11/2016
Wells Fargo Clearing Services, Llc North Scottsdale AZ 11/2016 Present
Previous Registrations
Other Businesses

WAB ENTERPRISES INC. NON INVESTMENT RELATED, SCOTTSDALE, AZ. LEASES ONE MOONEY AIRCRAFT. 100% OWNER. START 1/1/2000. 1 HR PER MONTH/0 DURING TRADING. DUTIES: FILE TAX PAPERWORK. 100% OWNERSHIP OF WILLIAM BRADLEY LLC, HOLDING CO FOR PENSION ACCOUNTS, INVESTMENT RELATED, SCOTTSDALE AZ, NO TIME DEVOTED. RENTAL PROPERTY - INVESTMENT RELATED. PHOENIX, AZ. START 6/1/2004; 1 HR PER MO/0 DURING TRADING. NO DUTIES. TRUSTEE FOR ST. RIATE PSP, INV RELATED, FOUNTAIN HILLS, AZ, START: 9/21/2021, 6 HRS/MONTH, 1 HR DURING TRADING. RENEW AUTOMOTIVE SALES LLC; INV RELATED; PHOENIX, AZ; 35% OWNERSHIP; START DATE 7/24/2024; 10 HOURS PER MONTH; 0 DURING TRADING; SILENT PARTNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-12
  • S66 Uniform Combined State Law Examination
    2000-07-12

View on SEC IAPD

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