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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 2014-01-22
  • MN RA
    APPROVED
    Since 2014-01-22

Branch Locations

550 S 4Th St 13Th Fl [Minn Rcast], Minneapolis, MN 55415 • United States

1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Bank Na White Bear Lake MN 02/2009 Present
Wells Fargo Advisors, Llc San Francisco CA 03/2012 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 Present
  • 02/2009 → Present
    Wells Fargo Bank Na
    White Bear Lake, MN
  • 03/2012 → 11/2016
    Wells Fargo Advisors, Llc
    San Francisco, CA
  • 11/2016 → Present
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-05-08
  • S63 Uniform Securities Agent State Law Examination
    2012-05-08

View on SEC IAPD

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