Andrew Thomas Whittaker

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2014-11-03

CA RA
APPROVED

Since 2014-11-03

Branch Locations

3700 Old Redwood Hwy Ste 108 [Nj-Rbo], Santa Rosa, CA 95404 • United States

601 Jackson St, Fairfield, CA 94533 • United States

120 Browns Valley Pkwy, Vacaville, CA 95688 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Vacaville	CA	07/2014	11/2016
Wells Fago Bank, Na	Vacaville	CA	12/2011	Present
Wells Fargo Clearing Services, Llc	Vacaville	CA	11/2016	Present

07/2014 → 11/2016

Wells Fargo Advisors, Llc

Vacaville, CA
12/2011 → Present

Wells Fago Bank, Na

Vacaville, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Vacaville, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-10-31

S66 Uniform Combined State Law Examination

2014-10-31

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

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