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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
NC RA APPROVED 2017-09-18
  • NC RA
    APPROVED
    Since 2017-09-18

Branch Locations

4340 Innslake Dr Concourse Floor, 7G91, Glen Allen, VA 23060 • United States

401 S Tryon Street, Charlotte, NC 28202 • United States

Charlotte, NC • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services Llc Charlotte NC 04/2017 Present
Ymca Of Charlotte Charlotte NC 09/2015 03/2017
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-14
  • S66 Uniform Combined State Law Examination
    2017-09-14
Other Names
  • Toby Powell
  • Toby Lee Powell

View on SEC IAPD

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