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James Botte

Wells Fargo Clearing Services, LLC

Short Hills, NJ

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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 2025-12-08
  • TX RA
    APPROVED
    Since 2025-12-08

Branch Locations

51 John F Kennedy Pkwy 5Th Fl Office Center At Short Hills, Short Hills, NJ 07078 • 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
Jpmorgan Chase Bank Na New York NY 03/2015 12/2016
Citigroup Management Corp. New York NY 01/2017 04/2019
Wells Fargo Clearing Services St Louis MO 04/2019 09/2024
Td Securities (Usa) Llc New York NY 09/2024 09/2025
Wells Fargo Clearing Services, Llc. Short Hills NJ 09/2025 Present
  • 03/2015 → 12/2016
    Jpmorgan Chase Bank Na
    New York, NY
  • 01/2017 → 04/2019
    Citigroup Management Corp.
    New York, NY
  • 04/2019 → 09/2024
    Wells Fargo Clearing Services
    St Louis, MO
  • 09/2024 → 09/2025
    Td Securities (Usa) Llc
    New York, NY
  • 09/2025 → Present
    Wells Fargo Clearing Services, Llc.
    Short Hills, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-12-08
S63 Uniform Securities Agent State Law Examination 2008-11-03
  • S65 Uniform Investment Adviser Law Examination
    2025-12-08
  • S63 Uniform Securities Agent State Law Examination
    2008-11-03
Other Names
  • James V Botte
  • James Botte
  • James Vincent Botte

View on SEC IAPD

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DUSHYANT PANDIT

Other Offices

LPL FINANCIAL LLC · SHORT HILLS, NJ
RIDGEWOOD INVESTMENTS · SPRINGFIELD, NJ
J.P. MORGAN SECURITIES LLC · SHORT HILLS, NJ
DORCHESTER ADVISORS LLC · SHORT HILLS, NJ
ESTEE ADVISORS LLC · SHORT HILLS, NJ
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SHORT HILLS, NJ
UNITED SUCCESS WEALTH MANAGEMENT · SHORT HILLS, NJ
TRANSAMERICA FINANCIAL ADVISORS, LLC · SHORT HILLS, NJ

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