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Alex Garcia

Wells Fargo Clearing Services, LLC

Las Vegas, NV

Scottsdale, AZ

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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 2016-06-10
NV RA APPROVED 2014-10-13
  • TX RA
    APPROVED_RES
    Since 2016-06-10
  • NV RA
    APPROVED
    Since 2014-10-13

Branch Locations

8474 Rozita Lee Ave Ste 400, Las Vegas, NV 89113 • United States

8601 N Scottsdale Rd Ste 150 [Support Center], Scottsdale, AZ 85253 • 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 Las Vegas NV 09/2014 11/2016
Wells Fargo Clearing Services, Llc Las Vegas NV 11/2016 Present
Previous Registrations
  • 2012-10-01 → 2014-09-25
    J.P. Morgan Securities Llc
    Pico Rivera, CA
    Pico Rivera, CA
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    North Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
  • 2012-05-03 → 2012-10-01
    Chase Investment Services Corp.
    Pico Rivera, CA
    Pico Rivera, CA
    Pico Rivera, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-01
S63 Uniform Securities Agent State Law Examination 2006-05-05
  • S66 Uniform Combined State Law Examination
    2012-05-01
  • S63 Uniform Securities Agent State Law Examination
    2006-05-05
Other Names
  • Alexis Garcia-Simon
  • Alexis Garcia

View on SEC IAPD

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Other Offices

YH&C INVESTMENTS INC. · LAS VEGAS, NV
MM MACHINE, LLC · LAS VEGAS, NV
QUANTIFIX CAPITAL MANAGEMENT, LLC · LAS VEGAS, NV
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LAS VEGAS, NV
AI AGENT CAPITAL, LLC · LAS VEGAS, NV
BETTER CAPITAL MANAGEMENT LLC · LAS VEGAS, NV
U.S. BANCORP ADVISORS, LLC · Las Vegas, NV
ROSTEN CAPITAL INVESTMENTS LLC · LAS VEGAS, NV

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