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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
TX RA APPROVED_RES 2026-03-25
GA RA APPROVED 2023-11-06
  • TX RA
    APPROVED_RES
    Since 2026-03-25
  • GA RA
    APPROVED
    Since 2023-11-06

Branch Locations

1729 Buford Hwy, Cumming, GA 30041 • United States

2055 Sugarloaf Circle [G8-Rbo], Duluth, GA 30097 • United States

5495 Bethelview Rd, Cumming, GA 30040 • United States

106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • 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
Bank Of America, N.A. Lawrenceville GA 11/2015 09/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrenceville GA 11/2015 09/2022
Raymond James & Associates, Inc. Gainesville GA 09/2022 11/2023
Wells Fargo Clearing Services, Llc Chamblee GA 11/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-13
S63 Uniform Securities Agent State Law Examination 2013-11-07
  • S65 Uniform Investment Adviser Law Examination
    2015-04-13
  • S63 Uniform Securities Agent State Law Examination
    2013-11-07

View on SEC IAPD

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