Richard Ashley Pelfrey

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	2020-03-13

CA RA
APPROVED

Since 2020-03-13

Branch Locations

350 W Colorado Blvd Ste 390 [Pn-Rbo], Pasadena, CA 91105 • United States

12273 Highland Avenue Ste 138, Rancho Cucamonga, CA 91739 • United States

203 Yale Ave, Claremont, CA 91711 • United States

8071 Day Creek Blvd, Rancho Cucamonga, CA 91739 • 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
Merrill Lynch, Pierce, Fenner And Smith Incorporated	Upland	CA	07/2012	03/2020
Bank Of America, N.A.	Upland	CA	12/2012	03/2020
Wells Fargo Clearing Services, Llc	Pasadena	CA	03/2020	Present

07/2012 → 03/2020

Merrill Lynch, Pierce, Fenner And Smith Incorporated

Upland, CA
12/2012 → 03/2020

Bank Of America, N.A.

Upland, CA
03/2020 → Present

Wells Fargo Clearing Services, Llc

Pasadena, CA

Previous Registrations

2012-11-26 → 2020-03-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ontario, CA

Upland, CA

Alta Loma, CA
2012-04-10 → 2012-07-31

Alternity Investment Advisors

Newport Beach, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-10-31

S66 Uniform Combined State Law Examination

2012-10-31

Other Names

Richard Ashley Pelfrey
Richard Pelfrey

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

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Reviews