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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 2005-10-17
  • TX RA
    APPROVED
    Since 2005-10-17

Branch Locations

600 E Taylor St Ste 1000, Sherman, TX 75090 • 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 Sherman TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Sherman TX 11/2016 Present
Previous Registrations
  • 1995-07-27 → 2005-09-20
    Morgan Stanley Dw Inc.
    Dallas, TX
Other Businesses

THORNHILL OIL & GAS INC., INV RELATED, PRESIDENT AND OWNER, START 11/1/1994, 1 HOUR PER MONTH, ZERO DURING TRADING, OIL AND GAS ROYALTIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-25
S63 Uniform Securities Agent State Law Examination 1995-07-26
  • S65 Uniform Investment Adviser Law Examination
    1995-08-25
  • S63 Uniform Securities Agent State Law Examination
    1995-07-26

View on SEC IAPD

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