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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 2012-08-31
  • TX RA
    APPROVED
    Since 2012-08-31

Branch Locations

8115 Preston Rd Ste 300 [Vb-Rbo], Dallas, TX 75225 • United States

5938 W Northwest Hwy, Dallas, TX 75225 • United States

17 Cowboys Way Ste 500, Frisco, TX 75034 • United States

Dallas, TX • 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 Plano TX 08/2012 11/2016
Wells Fargo Clearing Services, Llc Plano TX 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-11-15
S63 Uniform Securities Agent State Law Examination 1996-02-13
  • S65 Uniform Investment Adviser Law Examination
    2012-11-15
  • S63 Uniform Securities Agent State Law Examination
    1996-02-13

View on SEC IAPD

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