Adam Thomas Dugaw

Wells Fargo Clearing Services, LLC

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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

Authority	Category	Status	Date
NM	RA	APPROVED	2015-07-17
AZ	RA	APPROVED	2015-07-16

NM RA
APPROVED

Since 2015-07-17
AZ RA
APPROVED

Since 2015-07-16

Branch Locations

1004 W Chandler Blvd, Chandler, AZ 85224 • United States

8601 N Scottsdale Rd Ste 150 [Sf-Rbo], Scottsdale, AZ 85253 • United States

3495 W Chandler Blvd, Chandler, AZ 85226 • United States

121 S Power Rd, Mesa, AZ 85206 • United States

1090 E Ray Rd, Chandler, AZ 85225 • 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

Organization	City	State	From	To
Wells Fargo Bank N.A.	Mesa	AZ	12/2007	Present
Student	Mesa	AZ	01/2000	Present
Wells Fargo Advisors Llc	Mesa	AZ	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Mesa	AZ	11/2016	Present

12/2007 → Present

Wells Fargo Bank N.A.

Mesa, AZ
01/2000 → Present

Student

Mesa, AZ
01/2011 → 11/2016

Wells Fargo Advisors Llc

Mesa, AZ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Mesa, AZ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-07-09
S63	Uniform Securities Agent State Law Examination	2010-05-10

S66 Uniform Combined State Law Examination

2015-07-09
S63 Uniform Securities Agent State Law Examination

2010-05-10

View on SEC IAPD

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