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Richard Paul Lupkes

Wells Fargo Clearing Services, LLC

Tampa, FL

Tarpon Springs, FL

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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
FL RA APPROVED 2014-12-23
  • FL RA
    APPROVED
    Since 2014-12-23

Branch Locations

100 S Ashley Dr 9Th Fl [F6-Rbo], Tampa, FL 33602 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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 Advisors, Llc Tampa FL 07/2014 11/2016
Wells Fargo Clearing Services, Llc Tampa FL 11/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-12-22
S63 Uniform Securities Agent State Law Examination 2011-05-16
  • S66 Uniform Combined State Law Examination
    2014-12-22
  • S63 Uniform Securities Agent State Law Examination
    2011-05-16
Other Names
  • Richard Lupkes
  • Rich Paul Lupkes
  • Richard Paul Lupkes

View on SEC IAPD

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