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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
CO RA APPROVED 2026-07-22
TX RA APPROVED 2026-07-22
  • CO RA
    APPROVED
    Since 2026-07-22
  • TX RA
    APPROVED
    Since 2026-07-22

Branch Locations

5613 Dtc Pkwy Ste 1000, Greenwood Village, CO 80111 • 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
Ubs Financial Services Inc Denver CO 07/2013 07/2026
Wells Fargo Clearing Services, Llc Greenwood Village CO 07/2026 Present
Previous Registrations
  • 2012-11-16 → 2026-07-30
    Denver, CO
    Denver, CO
    Denver, CO
    Winter Park, FL
    Winter Park, FL
    Denver, CO
    Denver, CO
    Parker, CO
    Howey In The Hills, FL
  • 2010-04-21 → 2012-11-20
    Greenwood Village, CO
    Greenwood Village, CO
Other Businesses

1) The King's Purse / 8441 Burnt Oak Trail, Franktown, Colorado 80116 / United States Franktown / Other / Donor Advised Fund / Donor advised fund providing grants to 501(c)3 charitable organizations inline with the board members personal religious convictions. / / Member of a committee with management/supervisor functions / Serve as admin for Donor Advised Fund to make grants at board members requests - track balance of funds available and provide updates as requested by board members. / No / Start Date 7/1/2019 /// 2) NAME OF OTHER BUSINESS: Able Shepherd / INVESTMENT RELATED?: No / ADDRESS: 7146 S. Tucson Way Unit A, Centennial, CO / NATURE OF THE BUSINESS: Able Shepherd is the standard-setting, nationally recognized training program designed to teach situational awareness, leadership and protective tactics that can be applied to virtually any threatened environment. / POSITION: Training / DUTIES: Assist instructors with providing reality based training exercises. / START DATE: 8-31-2022 / HOURS DEVOTED TO BUSINESS: NA

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-04-20
  • S66 Uniform Combined State Law Examination
    2010-04-20
Designations

View on SEC IAPD

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