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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 2017-09-22
MD RA APPROVED 2017-09-21
  • TX RA
    APPROVED_RES
    Since 2017-09-22
  • MD RA
    APPROVED
    Since 2017-09-21

Branch Locations

1753 Pinnacle Dr 3Rd And 4Th Fl [V1-Rbo], Mclean, VA 22102 • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 03/2017
Wells Fargo Clearing Services, Llc Mclean VA 07/2017 Present
On Leave Hyattsville MD 03/2017 07/2017
Previous Registrations
Other Businesses

1. GLP INC, NOT INV RELATED, WOODBRIDGE VA, THEATRICAL STAGE HAND-LOCAL UNION 22, BEGAN 10/2005, 10 HOURS/MONTH, NOT DURING BUSINESS HOURS, SET UP AND STRIKE THEATRICAL EQUIPMENT. UBER, NOT INV RELATED, SAN FRANCISCO, CA, DRIVER, START 3/21/2018, 15 HOURS PER MONTH, ZERO DURING TRADING, DRIVER. LYFT, NOT INV RELATED, SAN FRANCISCO, CA, DRIVER, START 3/20/2018, 15 HOURS PER MONTH, ZERO DURING TRADING, DRIVER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-12
  • S66 Uniform Combined State Law Examination
    2007-01-12
Other Names
  • Richard Haye
  • Dick Haye

View on SEC IAPD

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