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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
FL RA APPROVED 2005-10-18
  • FL RA
    APPROVED
    Since 2005-10-18

Branch Locations

13515 Bell Tower Dr Ste 100, Fort Myers, FL 33907 • 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 Fort Myers FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Fort Myers FL 11/2016 Present
Previous Registrations
  • 2003-07-01 → 2005-10-05
    Ameriprise Advisor Services, Inc.
    Fort Myers, FL
  • 2002-10-18 → 2003-08-07
    Cape Coral, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-10-18
S63 Uniform Securities Agent State Law Examination 1996-07-10
  • S65 Uniform Investment Adviser Law Examination
    2000-10-18
  • S63 Uniform Securities Agent State Law Examination
    1996-07-10

View on SEC IAPD

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