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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 2020-07-14
CA RA APPROVED 2013-02-22
  • TX RA
    APPROVED_RES
    Since 2020-07-14
  • CA RA
    APPROVED
    Since 2013-02-22

Branch Locations

6781 N Palm Ave Ste 201, Fresno, CA 93704 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Fresno CA 02/2013 11/2016
Wells Fargo Clearing Services, Llc Fresno CA 11/2016 Present
Previous Registrations
Other Businesses

POWER OF ATTORNEY FOR SPOUSE, INV RELATED, FRESNO, CA, START: 11/15/2023, 1 HOUR A MONTH, 1 HOUR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-04-26
S63 Uniform Securities Agent State Law Examination 1988-10-28
  • S65 Uniform Investment Adviser Law Examination
    1994-04-26
  • S63 Uniform Securities Agent State Law Examination
    1988-10-28

View on SEC IAPD

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