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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
MN RA APPROVED 2013-11-05
CA RA APPROVED 2011-01-03
  • MN RA
    APPROVED
    Since 2013-11-05
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

8770 E Point Douglas Rd S, Cottage Grove, MN 55016 • United States

3390 Pilot Knob Rd, Eagan, MN 55121 • 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
Wells Fargo Bank Red Wing MN 12/1999 Present
Wells Fargo Advisors Llc Red Wing MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Red Wing MN 11/2016 Present
  • 12/1999 → Present
    Wells Fargo Bank
    Red Wing, MN
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Red Wing, MN
  • 11/2016 → Present
    Red Wing, MN
Previous Registrations
  • 2009-01-12 → 2011-01-03
    Wells Fargo Investments, Llc
    Red Wing, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-02
  • S66 Uniform Combined State Law Examination
    2009-01-02
Other Names
  • Sandra Marie Fitzpatrick
  • Sandra Marie Johnson

View on SEC IAPD

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