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James Andrew Straut

Wells Fargo Clearing Services, LLC

Columbia, MD

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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 2022-02-18
MD RA APPROVED 2005-08-12
  • FL RA
    APPROVED
    Since 2022-02-18
  • MD RA
    APPROVED
    Since 2005-08-12

Branch Locations

8830 Stanford Blvd Ste 303, Columbia, MD 21045 • 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 Columbia MD 05/2009 11/2016
Wells Fargo Clearing Services, Llc Columbia MD 11/2016 Present
Previous Registrations
  • 2001-05-09 → 2005-08-29
    Morgan Stanley Dw Inc.
    Ellicott Cty, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-06
S63 Uniform Securities Agent State Law Examination 1998-12-21
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    1998-12-21
Other Names
  • Jim Straut

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · COLUMBIA, MD
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Columbia , MD
TRANSAMERICA FINANCIAL ADVISORS, LLC · COLUMBIA, MD
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Columbia, MD
WHITE OAK WEALTH MANAGEMENT · COLUMBIA, MD
MML INVESTORS SERVICES, LLC · Columbia, MD
WHITE OAK WEALTH MANAGEMENT · COLUMBIA, MD
WELLS FARGO CLEARING SERVICES, LLC · COLUMBIA, MD

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