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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
MI RA APPROVED 2022-07-13
  • MI RA
    APPROVED
    Since 2022-07-13

Branch Locations

27755 Stansbury Blvd Ste 275, Farmington Hills, MI 48334 • 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
First Allied Securities Inc San Diego CA 05/2010 06/2022
First Allied Advisory Services, Inc San Diego CA 01/2017 11/2020
First Allied Advisory Services Schaumburg IL 11/2020 06/2022
Wells Fargo Clearing Services, Llc Farmington Hills MI 06/2022 Present
  • 05/2010 → 06/2022
    First Allied Securities Inc
    San Diego, CA
  • 01/2017 → 11/2020
    First Allied Advisory Services, Inc
    San Diego, CA
  • 11/2020 → 06/2022
    First Allied Advisory Services
    Schaumburg, IL
  • 06/2022 → Present
    Farmington Hills, MI
Previous Registrations
  • 2020-11-12 → 2022-06-06
    West Bloomfield, MI
    West Bloomfield, MI
  • 2017-01-27 → 2020-11-12
    First Allied Advisory Services, Inc.
    Bloomfield Hills, MI
    West Bloomfield, MI
    West Bloomfield, MI
Other Businesses

1.) WEST BLOOMFIELD PARKS AND RECREATION COMMISSION; NOT INV. RELATED; WEST BLOOMFIELD, MI; COMMISSIONER; START DATE: 01/01/2021; 4 HOURS PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTEND MEETINGS, REVIEW OPERATIONAL ACTIVITIES AS PROVIDED BY LEADERSHIP TEAM, REVIW AND VOTE ON BID PROPOSALS FOR GOODS AND SERVICES, REVIEW AND APPROVAL ANNUAL BUDGET AND ATTEND PUBLIC EVENTS.. 3.) MI REAL ESTATE LICENSE, NOT INV. RELATED; SOUTHFIELD, MI; START DATE 1/1/2006. 4.) NOTARY PUBLIC - STATE OF MICHIGAN / OAKLAND COUNTY - MARCH 2019 - MARCH 2026 - 1 HOUR PER MONTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-10-21
S63 Uniform Securities Agent State Law Examination 2016-08-12
  • S65 Uniform Investment Adviser Law Examination
    2016-10-21
  • S63 Uniform Securities Agent State Law Examination
    2016-08-12

View on SEC IAPD

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