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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 2011-01-28
  • CO RA
    APPROVED
    Since 2011-01-28

Branch Locations

5613 Dtc Pkwy [Rf-Rbo], 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
Wells Fargo Bank Na Centennial CO 02/2007 Present
Wells Fargo Advisors Llc Greenwood Village CO 01/2011 11/2016
Wells Fargo Clearing Services, Llc Greenwood Village CO 11/2016 Present
  • 02/2007 → Present
    Wells Fargo Bank Na
    Centennial, CO
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Greenwood Village, CO
  • 11/2016 → Present
    Greenwood Village, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-01-24
S63 Uniform Securities Agent State Law Examination 2010-08-17
  • S66 Uniform Combined State Law Examination
    2011-01-24
  • S63 Uniform Securities Agent State Law Examination
    2010-08-17

View on SEC IAPD

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