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Simon Benjamin Tarvin

Wells Fargo Clearing Services, LLC

Southbury, CT

Purchase, NY

Wilton, CT

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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
TX RA APPROVED_RES 2016-10-19
CT RA APPROVED 2006-12-20
  • TX RA
    APPROVED_RES
    Since 2016-10-19
  • CT RA
    APPROVED
    Since 2006-12-20

Branch Locations

229 Main St S, Southbury, CT 06488 • United States

2500 Westchester Ave Ste 201 [C3-Rbo], Purchase, NY 10577 • United States

44 Old Ridgefield Rd, Wilton, CT 06897 • 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
Wachovia Bank, N.A. Shelton CT 04/2005 Present
Wells Fargo Advisors Llc Ansonia CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Ansonia CT 11/2016 Present
  • 04/2005 → Present
    Wachovia Bank, N.A.
    Shelton, CT
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Ansonia, CT
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Ansonia, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-12-18
S63 Uniform Securities Agent State Law Examination 2006-03-13
  • S65 Uniform Investment Adviser Law Examination
    2006-12-18
  • S63 Uniform Securities Agent State Law Examination
    2006-03-13
Other Names
  • Simon Tarvin

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHBURY, CT
LPL FINANCIAL LLC · SOUTHBURY, CT
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Southbury, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SOUTHBURY, CT
LPL FINANCIAL LLC · SOUTHBURY, CT
OSAIC INSTITUTIONS, INC. · SOUTHBURY, CT
KESTRA ADVISORY SERVICES, LLC · Southbury, CT
SANCTUARY ADVISORS, LLC · Southbury, CT

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