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Charles Brock Dunford

Wells Fargo Clearing Services, LLC

Salt Lake City, UT

Bountiful, UT

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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
UT RA APPROVED 2026-04-14
  • UT RA
    APPROVED
    Since 2026-04-14

Branch Locations

299 S Main St 7Th Fl [Mk/Me-Rbo], Salt Lake City, UT 84111 • United States

280 W 1500 S, Bountiful, UT 84010 • 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
Fidelity Investments Salt Lake City UT 08/2010 04/2026
Fidelity Personal And Workplace Advisors Boston MA 07/2018 04/2026
Fidelity Investments Boston MA 03/2025 04/2026
Wells Fargo Clearing Services, Llc Salt Lake City UT 04/2026 Present
  • 08/2010 → 04/2026
    Fidelity Investments
    Salt Lake City, UT
  • 07/2018 → 04/2026
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 03/2025 → 04/2026
    Fidelity Investments
    Boston, MA
  • 04/2026 → Present
    Wells Fargo Clearing Services, Llc
    Salt Lake City, UT
Previous Registrations
  • 2025-03-31 → 2026-03-27
    Strategic Advisers Llc
    Salt Lake City, UT
    Salt Lake City, UT
    Boston, MA
  • 2018-07-13 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Boston, MA
    Salt Lake City, UT
    Salt Lake City, UT
  • 2011-11-21 → 2018-07-13
    Strategic Advisers Llc
    Salt Lake City, UT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-05
S63 Uniform Securities Agent State Law Examination 2010-12-21
  • S66 Uniform Combined State Law Examination
    2011-11-05
  • S63 Uniform Securities Agent State Law Examination
    2010-12-21
Other Names
  • C Brock Dunford
  • Brock Dunford
  • Charles Dunford
  • Charles Brock Dunford

View on SEC IAPD

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LEP MANAGEMENT LLC · SALT LAKE CITY, UT
UBS FINANCIAL SERVICES INC. · SALT LAKE CITY, UT
RAYMOND JAMES & ASSOCIATES, INC. · Salt Lake City, UT
UBS FINANCIAL SERVICES INC. · SALT LAKE CITY, UT
D.A. DAVIDSON & CO. · SALT LAKE CITY, UT
STRATOS WEALTH PARTNERS, LTD · SALT LAKE CITY, UT
LPL FINANCIAL LLC · SALT LAKE CITY, UT

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