Carlos Jimenez

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2003-07-01
TX	RA	APPROVED_RES	2003-07-01

CA RA
APPROVED

Since 2003-07-01
TX RA
APPROVED_RES

Since 2003-07-01

Branch Locations

888 Prospect St Stes 301 & 320, La Jolla, CA 92037 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	La Jolla	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	La Jolla	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

La Jolla, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

La Jolla, CA

Previous Registrations

1999-02-19 → 2003-07-01

Prudential Equity Group, Llc

La Jolla, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-02-11
S63	Uniform Securities Agent State Law Examination	1999-01-12

S65 Uniform Investment Adviser Law Examination

1999-02-11
S63 Uniform Securities Agent State Law Examination

1999-01-12

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews