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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 2024-10-29
CA RA APPROVED 2024-10-25
  • TX RA
    APPROVED
    Since 2024-10-29
  • CA RA
    APPROVED
    Since 2024-10-25

Branch Locations

3402 Camino Tassajara, Danville, CA 94506 • United States

2033 N Main Street 9Th Floor [Nk/Nl-Rbo], Walnut Creek, CA 94596 • 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 Livermore CA 10/2014 11/2016
Wells Fargo Bank, Na Livermore CA 01/2014 04/2017
Wells Fargo Clearing Services, Llc Livermore CA 11/2016 04/2017
Morgan Stanley Pleasanton CA 04/2017 10/2024
Morgan Stanley Private Bank, National Association New York NY 07/2017 10/2024
Wells Fargo Clearing Services, Llc Walnut Creek CA 10/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-05-22
S63 Uniform Securities Agent State Law Examination 2014-11-26
  • S66 Uniform Combined State Law Examination
    2017-05-22
  • S63 Uniform Securities Agent State Law Examination
    2014-11-26

View on SEC IAPD

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