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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
CA RA APPROVED 2022-10-12
MN RA APPROVED 2014-01-22
  • CA RA
    APPROVED
    Since 2022-10-12
  • MN RA
    APPROVED
    Since 2014-01-22

Branch Locations

400 Spectrum Center Dr Ste 2160, Irvine, CA 92618 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • United States

5 Park Plz 19Th & 20Th Fls, Irvine, CA 92614 • 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 Na Bloomington MN 04/2013 Present
Wells Fargo Advisors Llc Bloomington MN 04/2013 11/2016
Wells Fargo Clearing Services, Llc Bloomington MN 11/2016 Present
  • 04/2013 → Present
    Wells Fargo Bank Na
    Bloomington, MN
  • 04/2013 → 11/2016
    Wells Fargo Advisors Llc
    Bloomington, MN
  • 11/2016 → Present
    Bloomington, MN
Other Businesses

FINLEY JACK VR CO; INVESTMENT RELATED; MAMMOTH LAKES,CA; RENTAL PROPERTY;99% OWNERSHIP; START DATE 12/28/2018; NUMBER OF HOURS PER MONTH 4; NUMBER OF HOURS DURING TRADING 0; OWNER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-11-08
S63 Uniform Securities Agent State Law Examination 2011-07-01
  • S65 Uniform Investment Adviser Law Examination
    2022-11-08
  • S63 Uniform Securities Agent State Law Examination
    2011-07-01

View on SEC IAPD

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