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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 2026-03-04
WA RA APPROVED 2014-09-23
  • TX RA
    APPROVED_RES
    Since 2026-03-04
  • WA RA
    APPROVED
    Since 2014-09-23

Branch Locations

23467 Ne Novelty Hill Rd, Redmond, WA 98053 • United States

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Seattle WA 09/2014 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 Present
Previous Registrations
Other Businesses

EXECUTOR FOR MOTHER'S ESTATE, INV RELATED, LIVINGSTON, MT, START: 9/5/2024, 1 HOUR A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-06
S63 Uniform Securities Agent State Law Examination 1995-10-12
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    1995-10-12
Other Names
  • Dan Mingo

View on SEC IAPD

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