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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 2017-01-23
  • CA RA
    APPROVED
    Since 2017-01-23

Branch Locations

169 E Saint Charles St, San Andreas, CA 95249 • United States

11 Main St, Jackson, CA 95642 • United States

400 Capitol Mall Ste 1700 [Nm-Rbo], Sacramento, CA 95814 • 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 Bank Na San Andreas CA 05/2010 01/2017
Wells Fargo Advisors Llc San Andreas CA 05/2013 11/2016
Wells Fargo Clearing Services, Llc San Andreas CA 11/2016 Present
  • 05/2010 → 01/2017
    Wells Fargo Bank Na
    San Andreas, CA
  • 05/2013 → 11/2016
    Wells Fargo Advisors Llc
    San Andreas, CA
  • 11/2016 → Present
    San Andreas, CA
Other Businesses

ST. ANDREWS PLACE HOA, NOT INVT RELATED, VALLEY SPRINGS, CA, BOARD MEMBER, START DATE 7/1/2022, 2 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS TO DISCUSS PROPERTY MANAGEMENT OF HOA WITH OTHER BOARD MEMBERS. KVGC HOMETOWN RADIO FOR AMADOR AND CALAVERAS COUNTIES; NOT INV. RELATED; JACKSON, CA; ON-AIR HOST; START DATE 8/18/2023; 12 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES: ANNOUNCE FOOTBALL GAMES ON FRIDAY'S AND PRE-RECORD PROMOTIONS TO AIR TO ADVERTISE THE BROADCAST OF FOOTBALL GAMES. LETS TALK FOOTBALL WITH COACH VAL, NOT INV RELATED, VALLEY SPRINGS, CA, PODCAST, START DATE: 1/2/24, 4 HRS PER MONTH, 0 HRS DURING TRADING, PODCAST ABOUT LOCAL HIGHSCHOOL FOOTBALL; | SAINT ANDREWS PLACE HOA; NOT INV RELATED; VALLEY SPRINGS, CA; PRESIDENT; 01/2025; 4 HOURS PER MONTH; 0 DURING TRADING; HOA PRESIDENT | ACX AUDIBLE - NARRATOR OF AUDIO BOOKS; NOT INV RELATED; TBD, CA; AUDIO BOOKS ; NARRATOR; START DATE: 09/01/2025; 2 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-01-23
S63 Uniform Securities Agent State Law Examination 2013-07-10
  • S66 Uniform Combined State Law Examination
    2017-01-23
  • S63 Uniform Securities Agent State Law Examination
    2013-07-10

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