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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 2026-03-23
WA RA APPROVED 2021-06-24
FL RA APPROVED 2006-01-06
  • TX RA
    APPROVED_RES
    Since 2026-03-23
  • WA RA
    APPROVED
    Since 2021-06-24
  • FL RA
    APPROVED
    Since 2006-01-06

Branch Locations

350 E Las Olas Blvd 19Th Fl [D3/F7-Rbo], Fort Lauderdale, FL 33301 • 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 Fort Lauderdale FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Fort Lauderdale FL 11/2016 Present
Previous Registrations
  • 2005-03-15 → 2005-12-09
    Colonial Asset Management Inc
    Orlando, FL
Other Businesses

FARMLAND RENTAL; INVESTMENT RELATED; FARINA,ILLINOIS; 20% OWNERSHIP; START 11/4/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS PER MONTH 0; FARMLAND RENTAL PROPERTY. FARMLAND RENTAL; INVESTMENT RELATED; CLAY CITY,ILLINOIS; 20% OWNERSHIP; START 11/4/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS PER MONTH 0; FARMLAND RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-11-03
S63 Uniform Securities Agent State Law Examination 1996-05-02
  • S66 Uniform Combined State Law Examination
    2004-11-03
  • S63 Uniform Securities Agent State Law Examination
    1996-05-02
Other Names
  • Andy Caldwell

View on SEC IAPD

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