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Brian K Wallace

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

St. Louis, MO

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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 2023-03-22
  • NC RA
    APPROVED
    Since 2023-03-22

Branch Locations

Charlotte, NC • United States

8505 Ibm Drive, Charlotte, NC 28262 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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
Lpl Financial Llc Charlotte NC 04/2014 06/2022
Wells Fargo Clearing Services Charlotte NC 12/2022 Present
Wells Fargo Clearing Services Charlotte NC 02/2023 Present
Unemployed Charlotte NC 07/2022 11/2022
  • 04/2014 → 06/2022
    Lpl Financial Llc
    Charlotte, NC
  • 12/2022 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
  • 02/2023 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
  • 07/2022 → 11/2022
    Unemployed
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-25
  • S66 Uniform Combined State Law Examination
    2021-06-25

View on SEC IAPD

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