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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
NM RA APPROVED 2010-02-02
  • NM RA
    APPROVED
    Since 2010-02-02

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

4051 E Sunrise Dr Ste 200 [W6-Rbo], Tucson, AZ 85718 • United States

4051 E Sunrise Dr Ste 200, Tucson, AZ 85718 • United States

Tucson, AZ • 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 Advisors Llc Tucson AZ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Tucson AZ 11/2016 Present
Wells Fargo Advisors Financial Network Tucson AZ 03/2026 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Tucson, AZ
  • 11/2016 → Present
    Tucson, AZ
  • 03/2026 → Present
    Wells Fargo Advisors Financial Network
    Tucson, AZ
Other Businesses

TOP TIER CAKES; NON INVESTMENT RELATED; VAIL, AZ; START 11/11; 100% OWNERSHIP; 10 HRS PER MONTH 0 DURING TRADING; CAKE DECORATING | INTELLISHOP; NOT INV RELATED; TUCSON, AZ; MYSTERY SHOPPER; 03/2025; 10 HOURS PER MONTH; NO HOURS DURING TRADING; ENSURE COMPANY EMPLOYEES ARE CONDUCTING THEMSELVES AS REQUIRED DOORDASH ; NOT INV RELATED; SAN FRANCISCO, CA; DELIVERING GOODS; DASHER; START DATE: 10/25/2025; 10 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-02-01
  • S66 Uniform Combined State Law Examination
    2010-02-01
Other Names
  • Karen Carter
  • Karen Sue Carter

View on SEC IAPD

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