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Carol Anne Cullen

Wells Fargo Clearing Services, LLC

Orlando, FL

Winter Park, FL

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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 2014-03-27
  • TX RA
    APPROVED_RES
    Since 2014-03-27

Branch Locations

7740 W Sand Lake Rd, Orlando, FL 32819 • United States

480 N Orlando Ave Ste C220 [F2-Rbo], Winter Park, FL 32789 • 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. Orlando FL 09/2009 Present
Wells Fargo Advisors Llc Orlando FL 11/2009 11/2016
Wells Fargo Clearing Services, Llc Orlando FL 11/2016 Present
  • 09/2009 → Present
    Wachovia Bank, N.A.
    Orlando, FL
  • 11/2009 → 11/2016
    Wells Fargo Advisors Llc
    Orlando, FL
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Orlando, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-02-10
  • S63 Uniform Securities Agent State Law Examination
    2010-02-10
Other Names
  • Carol Anne Duclos
  • Carol Anne Duclos
  • Carol Anne Heisler
  • Carol Anne Duclos
  • Carol Duclos

View on SEC IAPD

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