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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
OH RA APPROVED 2023-11-30
  • OH RA
    APPROVED
    Since 2023-11-30

Branch Locations

10100 Innovation Dr Ste 100, Miamisburg, OH 45342 • 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
The Huntington Investment Company Columbus OH 04/1996 11/2023
Wells Fargo Clearing Services, Llc Miamisburg OH 11/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-09
S63 Uniform Securities Agent State Law Examination 1996-07-03
  • S65 Uniform Investment Adviser Law Examination
    2002-01-09
  • S63 Uniform Securities Agent State Law Examination
    1996-07-03
Designations

View on SEC IAPD

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