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Celeste Beatrice Barham

Wells Fargo Clearing Services, LLC

New Haven, CT

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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
CT RA APPROVED 2008-01-01
  • CT RA
    APPROVED
    Since 2008-01-01

Branch Locations

555 Long Wharf Dr 9Th Fl, New Haven, CT 06511 • 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 Hamden CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hamden CT 11/2016 Present
Previous Registrations
  • 1996-11-21 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Hamden, CT
    St. Louis, MO
    Hamden, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-09-11
S63 Uniform Securities Agent State Law Examination 1995-07-03
  • S65 Uniform Investment Adviser Law Examination
    1995-09-11
  • S63 Uniform Securities Agent State Law Examination
    1995-07-03

View on SEC IAPD

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