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Richard Charles Foley

Wells Fargo Clearing Services, LLC

Wilmington, NC

Morehead City, 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 2014-06-04
  • NC RA
    APPROVED
    Since 2014-06-04

Branch Locations

6752 Parker Farm Dr Ste 300, Wilmington, NC 28405 • United States

5003 Executive Dr, Morehead City, NC 28557 • 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 New Bern NC 03/2014 11/2016
Wells Fargo Bank Na New Bern NC 05/2012 Present
Wells Fargo Clearing Services, Llc New Bern NC 11/2016 Present
  • 03/2014 → 11/2016
    Wells Fargo Advisors, Llc
    New Bern, NC
  • 05/2012 → Present
    Wells Fargo Bank Na
    New Bern, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    New Bern, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-06-03
S63 Uniform Securities Agent State Law Examination 2014-05-13
  • S65 Uniform Investment Adviser Law Examination
    2014-06-03
  • S63 Uniform Securities Agent State Law Examination
    2014-05-13
Other Names
  • Richard Charles Foley

View on SEC IAPD

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TIMOTHY CALHOUN GRAY
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CHARLES WARREN MINTZ
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JOHN DAVID THOMAS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC
OSAIC INSTITUTIONS, INC. · Wilmington, NC
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, NC
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WILMINGTON, NC

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