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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 2022-11-11
  • NC RA
    APPROVED
    Since 2022-11-11

Branch Locations

6101 Fairview Rd, Charlotte, NC 28210 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Clearing Services, Llc Charlotte NC 06/2022 Present
Wells Fargo Bank, Na Charlotte NC 07/2019 Present
Sharonview Federal Credit Union Charlotte NC 06/2018 04/2019
Truliant Federal Credit Union Charlotte NC 03/2015 06/2018
  • 06/2022 → Present
    Charlotte, NC
  • 07/2019 → Present
    Wells Fargo Bank, Na
    Charlotte, NC
  • 06/2018 → 04/2019
    Sharonview Federal Credit Union
    Charlotte, NC
  • 03/2015 → 06/2018
    Truliant Federal Credit Union
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-11-11
S63 Uniform Securities Agent State Law Examination 2022-10-07
  • S65 Uniform Investment Adviser Law Examination
    2022-11-11
  • S63 Uniform Securities Agent State Law Examination
    2022-10-07

View on SEC IAPD

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