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Roy Herbert Browning

Wells Fargo Clearing Services, LLC

Fort Worth, TX

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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 2003-07-01
  • TX RA
    APPROVED
    Since 2003-07-01

Branch Locations

201 Main St Ste 1700, Fort Worth, TX 76102 • 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 Fort Worth TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Fort Worth TX 11/2016 Present
Previous Registrations
  • 1983-08-23 → 2003-07-01
    Prudential Equity Group, Llc
    Fort Worth, TX
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-16
S63 Uniform Securities Agent State Law Examination 1986-07-10
  • S65 Uniform Investment Adviser Law Examination
    1994-12-16
  • S63 Uniform Securities Agent State Law Examination
    1986-07-10

View on SEC IAPD

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Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Fort Worth, TX
M2G VENTURES LLC · FORT WORTH, TX
ACHELION CAPITAL MANAGEMENT, LLC · FORT WORTH, TX
J.P. MORGAN SECURITIES LLC · FT. WORTH, TX
GOOD LIFE PRIVATE WEALTH, LLC · FORT WORTH, TX
SELADOR CAPITAL MANAGEMENT, LP · FT. WORTH, TX
INDEPENDENCE SQUARE HOLDINGS, LLC · Fort Worth, TX
EAGLE STRATEGIES LLC · FORT WORTH, TX

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