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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 2025-03-17
  • TX RA
    APPROVED
    Since 2025-03-17

Branch Locations

17 Cowboys Way Ste 500, Frisco, TX 75034 • 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
J.P. Morgan Securities Llc Plano TX 01/2023 06/2023
Aca Inc. Nagatacho, Tokyo 04/2014 06/2021
Unemployed Arcadia OK 07/2021 12/2022
Wells Fargo Clearing Services, Llc Frisco TX 01/2025 Present
Unemployed Arlington TX 07/2023 12/2024
  • 01/2023 → 06/2023
    J.P. Morgan Securities Llc
    Plano, TX
  • 04/2014 → 06/2021
    Aca Inc.
    Nagatacho, Tokyo
  • 07/2021 → 12/2022
    Unemployed
    Arcadia, OK
  • 01/2025 → Present
    Frisco, TX
  • 07/2023 → 12/2024
    Unemployed
    Arlington, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-20
S63 Uniform Securities Agent State Law Examination 2023-04-11
  • S65 Uniform Investment Adviser Law Examination
    2024-05-20
  • S63 Uniform Securities Agent State Law Examination
    2023-04-11

View on SEC IAPD

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