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William Dent Sullivan

Wells Fargo Clearing Services, LLC

Charlotte, NC

Hickory, NC

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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
NC RA APPROVED 2014-04-01
  • NC RA
    APPROVED
    Since 2014-04-01

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

1453 2Nd St Ne, Hickory, NC 28601 • 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. Lenoir NC 01/2014 11/2016
Wells Fargo Bank Na Lenoir NC 11/2004 Present
Wells Fargo Clearing Services, Llc Lenoir NC 11/2016 Present
  • 01/2014 → 11/2016
    Wells Fargo Advisors, Llc.
    Lenoir, NC
  • 11/2004 → Present
    Wells Fargo Bank Na
    Lenoir, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Lenoir, NC
Other Businesses

RENTAL PROPERTY, INV. RELATED, LENOIR, NC. START: 8/8/17, 1 HOUR/MONTH, 0 DURING TRADING, LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-04-01
S63 Uniform Securities Agent State Law Examination 2014-03-12
  • S65 Uniform Investment Adviser Law Examination
    2014-04-01
  • S63 Uniform Securities Agent State Law Examination
    2014-03-12
Other Names
  • Bill Sullivan

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

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