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William Frederick Griffin

Wells Fargo Clearing Services, LLC

Raleigh, NC

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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 2019-08-28
NC RA APPROVED 2019-06-11
  • TX RA
    APPROVED_RES
    Since 2019-08-28
  • NC RA
    APPROVED
    Since 2019-06-11

Branch Locations

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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
Westend Advisors, Llc Charlotte NC 12/2014 12/2018
Westend Advisors, Llc Charlotte NC 01/2019 04/2019
Wells Fargo Clearing Services, Llc Raleigh NC 05/2019 Present
Westend Advisors, Llc Charlotte NC 04/2019 05/2019
Previous Registrations
Other Businesses

CHRIST CHURCH RALEIGH ; INV RELATED; RALEIGH,NC;INVESTMENT COMMITTEE MEMBER; START DATE: 11/05/2025; 1 HRS PER MONTH; 1 HRS DURING TRADING;|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2019-07-31
S65 Uniform Investment Adviser Law Examination 2015-06-17
  • S63 Uniform Securities Agent State Law Examination
    2019-07-31
  • S65 Uniform Investment Adviser Law Examination
    2015-06-17
Other Names
  • Willie Griffin

View on SEC IAPD

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SCHRUM PRIVATE WEALTH MANAGEMENT, LLC

Other Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH
William Dean Cotton
Earl Scott Butcher
DAVID JEFFREY HERMAN
JAY DAVID MCKINNEY
BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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