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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
IL RA APPROVED 2006-03-01
  • IL RA
    APPROVED
    Since 2006-03-01

Branch Locations

510 Maine St 9Th Fl, Quincy, IL 62301 • United States

Quincy, IL • 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 Quincy IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Quincy IL 11/2016 Present
Other Businesses

1. LONGVIEW FARM INC, NOT INV RELATED, CANTON MO, FAMILY FARM, TREASURER, START 1972, 10-20 HOURS/YEAR, NO BUS HOURS, BOOKKEEPING. 2. NORTHWAY FARM LLC, INV RELATED, CANTON, MO, 27% OWNERSHIP, START 12/14/2012, 1 HOUR PER MONTH, ZERO DURRING TRADING, FAMILY FARM. 3. BODLEY LODGE #1 AFAM, NOT INV RELATED, QUINCY IL, FREEMASONS, TREASURER, START 11/1973, 10-20 HOURS/YEAR. 4. CULVER STOCKTON COLLEGE, NOT INV RELATED, CANTON MO, EDUCATION, 7A-INSTRUCTOR, START 1999, TEACH INVESTMENT CLASS. 7B-TRUSTEE, BEGAN 1982, 6-8 DAYS/YEAR,2-4 DURING BUS HRS. 7C-CHAIR INVEST COMM, BEGAN 1982, 6-8 DAYS/YEAR, 2-4 BUS DAYS. 6. CULVER-STOCKTON COLLEGE, INV RELATED, CANTON, MO, INVESTMENT COMMITTEE MEMBER, START 7/1/2018, LESS THAN 1 HOUR PER MONTH/DURING TRADING, DUTIES: REVIEW RECOMMENDATIONS. 7. CANTON, MO HISTORICAL PRESERVATION COMMISSION; NOT INV. RELATED; CANTON, MO; BOARD MEMBER; START 5/2022; 1 HR PER MONTH; 0 HRS DURING TRADING; DUTIES: ATTENDING MEETINGS RECOMMEND AREAS TO INCLUDE IN PRESERVATIONS DISTRICTS. 8. ILLINOIS SCOTTISH RITE SCHOLARSHIP FUND, INV RELATED, BLOOMINGDALE, IL, INVESTMENT COMMITTEE CHAIRMAN, START 6/1/2000, 1 HOUR PER MONTH, 1 HOUR DURING TRADING, PROVIDING OVERSIGHT OF THE INVESTMENT MANAGERS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-07-21
S63 Uniform Securities Agent State Law Examination 1979-10-13
  • S65 Uniform Investment Adviser Law Examination
    2005-07-21
  • S63 Uniform Securities Agent State Law Examination
    1979-10-13

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