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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
CA RA APPROVED 2020-10-28
  • CA RA
    APPROVED
    Since 2020-10-28

Branch Locations

6781 N Palm Ave Ste 201 [Nt/Nv-Rbo], Fresno, CA 93704 • United States

456 S Main St, Salinas, CA 93901 • 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
Wells Fargo Bank, N.A. Salinas CA 01/2011 Present
Wells Fargo Advisors, Llc Salinas CA 09/2011 11/2016
Wells Fargo Clearing Services, Llc Salinas CA 11/2016 Present
  • 01/2011 → Present
    Wells Fargo Bank, N.A.
    Salinas, CA
  • 09/2011 → 11/2016
    Wells Fargo Advisors, Llc
    Salinas, CA
  • 11/2016 → Present
    Salinas, CA
Other Businesses

NOTARY PUBLIC; NOT INVESTMENT RELATED; SALINAS,CA; START DATE 07/07/2021; NUMBER OF HOURS PER MONTH 10; NUMBER OF HOURS DURING TRADING 0; NOTARIZING DOCUMENTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-10-28
S63 Uniform Securities Agent State Law Examination 2010-03-29
  • S66 Uniform Combined State Law Examination
    2020-10-28
  • S63 Uniform Securities Agent State Law Examination
    2010-03-29

View on SEC IAPD

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