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Carlos Santana Stennis

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, 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 2012-07-23
  • NC RA
    APPROVED
    Since 2012-07-23

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

1525 W Wt Harris Blvd 5Th Fl [Clt Rcast], Charlotte, NC 28262 • 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 Charlotte NC 07/2011 11/2016
Wachovia Bank, N.A. Charlotte NC 06/2011 Present
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
  • 07/2011 → 11/2016
    Wells Fargo Advisors Llc
    Charlotte, NC
  • 06/2011 → Present
    Wachovia Bank, N.A.
    Charlotte, NC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
Previous Registrations
  • 2007-01-12 → 2009-11-25
    Msi Financial Services, Inc.
    Charlotte, NC
    Dublin, OH
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-07-20
S63 Uniform Securities Agent State Law Examination 2007-03-17
  • S65 Uniform Investment Adviser Law Examination
    2012-07-20
  • S63 Uniform Securities Agent State Law Examination
    2007-03-17
Other Names
  • Carlos Stennis

View on SEC IAPD

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