Rachel Sarah Heiser

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
TX	RA	APPROVED_RES	2021-06-15
WA	RA	APPROVED	2014-05-16

TX RA
APPROVED_RES

Since 2021-06-15
WA RA
APPROVED

Since 2014-05-16

Branch Locations

999 3Rd Ave Ste 4000, Seattle, WA 98104 • United States

Seattle, WA • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Seattle	WA	05/2014	11/2016
Wells Fargo Clearing Services, Llc	Seattle	WA	11/2016	Present

05/2014 → 11/2016

Wells Fargo Advisors Llc

Seattle, WA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Seattle, WA

Previous Registrations

2014-01-04 → 2014-05-20

Morgan Stanley

Bellevue, WA

Other Businesses

WESTWOOD CONDO, LLC, INVT RELATED, SEATTLE, WA, TREASURER, START DATE 1/31/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, KEEPING BOOKS AND SIGNING CHECKS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-01-04
S63	Uniform Securities Agent State Law Examination	2013-10-26

S65 Uniform Investment Adviser Law Examination

2014-01-04
S63 Uniform Securities Agent State Law Examination

2013-10-26

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews