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James Van Moore

Wells Fargo Clearing Services, LLC

Springfield, IL

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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 2021-03-29
IL RA APPROVED 2011-05-13
  • TX RA
    APPROVED_RES
    Since 2021-03-29
  • IL RA
    APPROVED
    Since 2011-05-13

Branch Locations

2941 Greenbriar, Springfield, IL 62704 • 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 Springfield IL 05/2011 11/2016
Wells Fargo Clearing Services, Llc Springfield IL 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2011-05-20
    Morgan Stanley
    Springfield, IL
    Springfield, IL
  • 2005-04-29 → 2009-06-01
    Citigroup Global Markets Inc.
    Springfield, IL
    Springfield, IL
  • 2003-10-09 → 2005-05-04
    Morgan Stanley Dw Inc.
    Springfield, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-10-08
S63 Uniform Securities Agent State Law Examination 1996-02-02
  • S65 Uniform Investment Adviser Law Examination
    2003-10-08
  • S63 Uniform Securities Agent State Law Examination
    1996-02-02

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.

Other Investors

DAVID MICHAEL GUNDY
Kevan Alan Stapleton
BRADLEY J. PUNKE
Albert Oscar Eck
BRENT WILLIAM LEACH
HEATHER JOYCE KERN
JAMES PERRY Hogge
RANDY LEE TAYLOR

Other Offices

ADVANCED TRADER INVESTMENT ADVISORS, LLC. · SPRINGFIELD, IL
CETERA INVESTMENT ADVISERS LLC · SPRINGFIELD, IL
CETERA INVESTMENT ADVISERS LLC · SPRINGFIELD, IL
LPL FINANCIAL LLC · SPRINGFIELD, IL
OSAIC INSTITUTIONS, INC. · Springfield, IL
WEALTH MANAGEMENT SERVICES,LLC · SPRINGFIELD, IL
WEALTH MANAGEMENT SERVICES,LLC · SPRINGFIELD, IL
WEALTH MANAGEMENT SERVICES,LLC · SPRINGFIELD, IL

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