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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 2016-08-04
FL RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2016-08-04
  • FL RA
    APPROVED
    Since 2008-01-01

Branch Locations

1025 Greenwood Blvd Ste 179, Lake Mary, FL 32746 • 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 Lake Mary FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Lake Mary FL 11/2016 Present
Previous Registrations
  • 1998-04-22 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Orlando, FL
    St. Louis, MO
    Orlando, FL
Other Businesses

67% OWNERSHIP OF RENTAL PROPERTY, INV RELATED, WINTER PARK FL, 1 HOUR PER MONTH, DUTIES ACT AS MANAGER, START 3/1/2004. RENTAL PROPERTY; INV RELATED; ALTAMONTE SPRINGS, FL; 50% OWNERSHIP; START 2/1/2011; 2 HRS PER MONTH, 0 DURING TRADING; MANAGING THE RENTAL.; LEXINGTON GREEN/MUIRFIELD VILLAGE HOA, NOT INV RELATED, LAKE MARY, FL, START DATE: 9/28/23, 5 HRS PER MONTH, 0 HRS DURING TRADING, BOARD MEMBER; HEATHROW MASTER ASSOCIATION, NOT INVT RELATED, LAKE MARY, FL, HOA DUE PROCESS COMMITTEE, START DATE 12/2/2024, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, COORDINATE AND ASSIGN TASKS, WORK ON VIOLATIONS, FINE RECOMMENDATIONS AS WARRANTED, CORRECTIONS AND COMPLIANCE. ASSEMBLING VIOLATION PACKETS, PROVIDE REPORTS, PREPARING AND SENDING STATUTORY NOTICE OF HEARING TO HOMEOWNERS. | HEATHROW COMMUNITY MASTER HOMEOWNERS ASSOCIATION TOWN ADVISORY COUNCIL; NOT INV RELATED; LAKE MARY, FL; ADVISORY BOARD MEMBER; 04/2025; 1 HOUR PER MONTH; 0 DURING TRADING; HOA BOARD TO PROMOTE COMMUNICATION

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-04-17
  • S63 Uniform Securities Agent State Law Examination
    1998-04-17

View on SEC IAPD

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