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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 2025-11-23
NY RA APPROVED 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2025-11-23
  • NY RA
    APPROVED
    Since 2021-07-27

Branch Locations

88 Froehlich Farm Blvd, Woodbury, NY 11797 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services Inc Melville NY 03/2012 03/2021
Wells Fargo Clearing Services, Llc. Woodbury NY 03/2021 Present
Previous Registrations
  • 2012-03-16 → 2014-12-31
    Melville, NY
  • 2009-06-01 → 2012-03-20
    Melville, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Melville, NY
  • 2007-02-23 → 2007-04-02
    Morgan Stanley Dw Inc.
    Melville, NY
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-06-17
S63 Uniform Securities Agent State Law Examination 1996-06-11
  • S65 Uniform Investment Adviser Law Examination
    1996-06-17
  • S63 Uniform Securities Agent State Law Examination
    1996-06-11
Designations

View on SEC IAPD

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