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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 2021-11-24
TX RA APPROVED_RES 2018-05-04
  • CA RA
    APPROVED
    Since 2021-11-24
  • TX RA
    APPROVED_RES
    Since 2018-05-04

Branch Locations

301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Los Altos CA 07/2016 11/2016
Wells Fargo Clearing Services, Llc Los Altos CA 11/2016 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-09-08
  • S63 Uniform Securities Agent State Law Examination
    2010-09-08

View on SEC IAPD

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