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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 2022-08-01
NV RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2022-08-01
  • NV RA
    APPROVED
    Since 2011-01-03

Branch Locations

8474 Rozita Lee Ave Ste 400, Las Vegas, NV 89113 • 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 Llc Henderson NV 01/2011 11/2016
Wells Fargo Clearing Services, Llc Henderson NV 11/2016 Present
Previous Registrations
  • 2005-07-28 → 2011-01-03
    Wells Fargo Investments, Llc
    Henderson, NV
    Henderson, NV
    Henderson, NV
    Henderson, NV
    Henderson, NV
    Las Vegas, NV
    Las Vegas, NV
Other Businesses

SPAGO LANE LLC, INV RELATED, HENDERSON, NV, RENTAL PROPERTY; 50% OWNER, START: 2/2013, 1 HOUR PER MONTH/0 DURING TRADING. DUTIES: COLLECT RENT. | SPAGO WINSTON LLC, INV RELATED, HENDERSON, NV, RENTAL PROPERTY; 50% OWNER START: 8/9/2013, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: COLLECT RENT.| VITASURGE; INV RELATED; LAS VEGAS, NV; ENERGY DRINK FORMULATION; 10% OWNER; START DATE 08/30/2024; 1 HOUR PER MONTH; 0 HOURS DURING TRADING; NO DUTIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-26
S63 Uniform Securities Agent State Law Examination 1996-06-03
  • S65 Uniform Investment Adviser Law Examination
    1996-06-26
  • S63 Uniform Securities Agent State Law Examination
    1996-06-03

View on SEC IAPD

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