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Elizabeth D Peper

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

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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
NC RA APPROVED 2021-01-05
  • NC RA
    APPROVED
    Since 2021-01-05

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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
Janney Montgomery Scott Llc Charlotte NC 05/2016 11/2020
Wells Fargo Clearing Services, Llc Charlotte NC 12/2020 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-18
S63 Uniform Securities Agent State Law Examination 2013-08-21
  • S66 Uniform Combined State Law Examination
    2014-08-18
  • S63 Uniform Securities Agent State Law Examination
    2013-08-21
Other Names
  • Elizabeth D Peper
  • Elizabeth Diana Peper

View on SEC IAPD

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