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Carl Lloyd Hartson

Wells Fargo Clearing Services, LLC

Marion, IA

West Des Moines, IA

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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
IA RA APPROVED 2011-01-03
  • IA RA
    APPROVED
    Since 2011-01-03

Branch Locations

340 7Th Ave, Marion, IA 52302 • United States

6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • 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 Bank Waterloo IA 02/2008 Present
Wells Fargo Advisors Llc Cedar Falls IA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Cedar Falls IA 11/2016 Present
  • 02/2008 → Present
    Wells Fargo Bank
    Waterloo, IA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Cedar Falls, IA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Cedar Falls, IA
Previous Registrations
  • 2009-01-09 → 2011-01-03
    Wells Fargo Investments, Llc
    Waterloo, IA
    Waterloo, IA
    Cedar Falls, IA
    Waterloo, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-08
  • S66 Uniform Combined State Law Examination
    2009-01-08

View on SEC IAPD

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