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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
TX RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2011-01-03

Branch Locations

13215 Bee Cave Pkwy Ste 150, Bldg A, Bee Cave, TX 78738 • 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 San Antonio TX 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Antonio TX 11/2016 Present
Previous Registrations
  • 2008-10-09 → 2011-01-03
    Wells Fargo Investments, Llc
    San Antonio, TX
    San Antonio, TX
    Albuquerque, NM
  • 2008-06-26 → 2008-08-20
    Capital One Financial Advisors Llc
    Melville, NY
  • 2006-06-02 → 2008-08-13
    Capital One Investments, Llc
    Baton Rouge, LA
    Franklin, LA
    Abbeville, LA
    Hammond, LA
    Beaumont, TX
    Victoria, TX
    Oakdale, LA
    Lafayette, LA
    New Iberia, LA
    Jennings, LA
    Sulphur, LA
    Lake Charles, LA
    Denham Springs, LA
    Baton Rouge, LA
    Sealy, TX
    Brenham, TX
    Port Lavaca, TX
    Bay City, TX
    Lake Charles, LA
    Beaumont, TX
    New Orleans, LA
    Houston, TX
    Lafayette, LA
    New Iberia, LA
    Baton Rouge, LA
    Lafayette, LA
    Lafayette, LA
    Lake Charles, LA
    Jennings, LA
    Sulphur, LA
    Lake Charles, LA
    Denham Springs, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Baton Rouge, LA
    Beaumont, TX
    Lafayette, LA
    Gonzales, LA
    Hammond, LA
    Oakdale, LA
    Kinder, LA
    Franklin, LA
    Abbeville, LA
    Baton Rouge, LA
    Lake Charles, LA
    Baton Rouge, LA
    Austin, TX
    Victoria, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-07-23
S63 Uniform Securities Agent State Law Examination 1997-06-09
  • S65 Uniform Investment Adviser Law Examination
    2003-07-23
  • S63 Uniform Securities Agent State Law Examination
    1997-06-09

View on SEC IAPD

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