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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
FL RA APPROVED 2022-11-22
  • FL RA
    APPROVED
    Since 2022-11-22

Branch Locations

1473 E Osceola Pkwy, Kissimmee, FL 34744 • United States

480 N Orlando Ave Ste C220 [F2-Rbo], Winter Park, FL 32789 • United States

5708 Hamlin Groves Trl, Winter Garden, FL 34787 • 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
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc Kissimmee FL 03/2022 Present
Wells Fargo Bank, Na Kissimmee FL 04/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-11-14
  • S66 Uniform Combined State Law Examination
    2022-11-14
Other Names
  • Dairo Lopez

View on SEC IAPD

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