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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 2018-08-30
NC RA APPROVED 2014-07-02
  • TX RA
    APPROVED_RES
    Since 2018-08-30
  • NC RA
    APPROVED
    Since 2014-07-02

Branch Locations

300 Foushee St, Durham, NC 27704 • United States

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • United States

900 W Club Blvd, Durham, NC 27701 • 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 Bank Na Durham NC 05/2013 06/2018
Wells Fargo Advisors Llc Durham NC 04/2014 11/2016
Wells Fargo Clearing Services, Llc Durham NC 11/2016 Present
  • 05/2013 → 06/2018
    Wells Fargo Bank Na
    Durham, NC
  • 04/2014 → 11/2016
    Wells Fargo Advisors Llc
    Durham, NC
  • 11/2016 → Present
    Durham, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-07-02
S63 Uniform Securities Agent State Law Examination 2014-06-11
  • S65 Uniform Investment Adviser Law Examination
    2014-07-02
  • S63 Uniform Securities Agent State Law Examination
    2014-06-11

View on SEC IAPD

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