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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 2023-01-09
MN RA APPROVED 2021-01-08
  • TX RA
    APPROVED_RES
    Since 2023-01-09
  • MN RA
    APPROVED
    Since 2021-01-08

Branch Locations

7900 Xerxes Ave S 10Th Fl [Gg-Rbo], Bloomington, MN 55431 • 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
Northwestern Mutual Investment Services, Llc Lake Elmo MN 10/2013 01/2021
Northwestern Mutual Life Insurance Company Milwaukee WI 10/2013 01/2021
Northwestern Mutual Wealth Management Company Milwaukee WI 03/2017 01/2021
Wells Fargo Clearing Services, Llc Wayzata MN 01/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-10
  • S66 Uniform Combined State Law Examination
    2009-11-10

View on SEC IAPD

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