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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
MO RA APPROVED 2015-02-20
  • MO RA
    APPROVED
    Since 2015-02-20

Branch Locations

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

Disclosures

1 disclosure category 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 No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors St. Louis MO 02/2012 11/2016
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 Present
Other Businesses

HOPE APACHE MISSIONS INC., NOT INV RELATED, SAN TAN VALLEY, AZ, TREASURER, 10 HOURS PER MONTH, ZERO DURING TRADING, ATTENDING MEETINGS DISCUSSING FINANCES, PERFORMANCE, BUDGETS, STRATEGIES, AND CHANGES IN PROCEDURE AND PROTOCOL, KEEPING TRACK OF DONATIONS, ACCOUNTING, AND BUDGETING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-02-20
S63 Uniform Securities Agent State Law Examination 2013-12-13
  • S66 Uniform Combined State Law Examination
    2015-02-20
  • S63 Uniform Securities Agent State Law Examination
    2013-12-13

View on SEC IAPD

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