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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_RES 2016-09-20
MS RA APPROVED 2010-11-04
AL RA APPROVED 2005-04-23
  • TX RA
    APPROVED_RES
    Since 2016-09-20
  • MS RA
    APPROVED
    Since 2010-11-04
  • AL RA
    APPROVED
    Since 2005-04-23

Branch Locations

41 W I-65 Service Road N Ste 220, Mobile, AL 36608 • United States

7105 Airport Boulevard, Mobile, AL 36608 • United States

907 Highway 43 S, Saraland, AL 36571 • United States

2801 Highway 280 S Ste 400 [A1-Rbo], Birmingham, AL 35223 • United States

5417 Hwy 90 W, Mobile, AL 36619 • United States

3001 Dauphin St, Mobile, AL 36606 • United States

6391 Cottage Hill Rd, Mobile, AL 36609 • 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 Mobile AL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Mobile AL 11/2016 Present
Previous Registrations
  • 1999-06-08 → 2004-12-13
    Southtrust Securities, Llc
    Mobile, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-10
S63 Uniform Securities Agent State Law Examination 1995-10-03
  • S65 Uniform Investment Adviser Law Examination
    1995-10-10
  • S63 Uniform Securities Agent State Law Examination
    1995-10-03

View on SEC IAPD

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