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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
NJ RA APPROVED 2002-08-07
  • NJ RA
    APPROVED
    Since 2002-08-07

Branch Locations

1600 Highway 35 And Deal Rd [J6/J9-Rbo], Oakhurst, NJ 07755 • United States

3001 Us Hwy 9, Howell, NJ 07731 • United States

460 County Road 520, Marlboro, NJ 07746 • 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 Metuchen NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Metuchen NJ 11/2016 Present
Other Businesses

RENTAL PROPERTY; INV. RELATED; MYRTLE BEACH,SC; 50% OWNERSHIP; START DATE 05/04/2021; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-19
S63 Uniform Securities Agent State Law Examination 1995-04-13
  • S65 Uniform Investment Adviser Law Examination
    2000-10-19
  • S63 Uniform Securities Agent State Law Examination
    1995-04-13

View on SEC IAPD

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