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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

1000 Louisiana St 7Th Fl [Pcg-9Q], Houston, TX 77002 • 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 Houston TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Houston TX 11/2016 Present
Previous Registrations
  • 1995-03-27 → 2003-07-01
    Prudential Equity Group, Llc
    Houston, TX
Other Businesses

1. INDIAN SPRINGS APARTMENTS; INV-RELATED; HOUTSON, TX; 2.94% OWNERSHIP; START: 5/1/12; 0 HRS/MO; 0 DURING TRADING. 2. LORCH MANAGEMENT COMPANY, INV RELATED, ASSET PROTECTION, NO DUTIES, HOUSTON TX, START 1/2012 3. CHILTON HOLDINGS LLC - RENTAL SERIES; INV RELATED; HOUSTON, TX; MANAGE AND MAINTAIN PERSONAL RENTAL PROPERTIES FOR LIABILITY PURPOSES; 100% OWNERSHIP WITH SPOUSE; START 12/14/2012; 1 HOUR PER MONTH; 0 DURING TRADING. 4. CHILTON HOLDINGS LLC - INV SERIES; NOT INV RELATED; HOUSTON, TX; LLC TO MANAGE AND MAINTAIN PERSONAL INVESTMENTS FOR LIABILITY PURPOSES; 100% OWNERSHIP WITH SPOUSE; 0 HOURS PER MONTH. 5. CHILTON HOLDINGS LLC - RECREATIONAL SERIES - INV RELATED, HOLDING COMPANY FOR REC ASSETS, HOUSTON TX, NO HOURS DEVOTED, START 01/15/2013 6. CHILTON GLOBAL MGT PARTNERS, INV RELATED, 1.5% OWNERSHIP, HOUSTON,TX. 0 HOURS/MONTH, ASSETS HOLDINGS, 7. SUMMER VALE, LTD - INV RELATED, HOUSTON, TX. REAL ESTATE RENTALS. 7.5% OWNER. START: 10/1/2013. 0 HRS PER MONTH. DUTIES: NONE. 8. ARI AOR INVESTMENTS LLC (7.24%) AND CDPO SPRING MEADOWS LLC (1.83232%), INV RELATED, HOUSTON, TX, START: 7/2015, 0 HOURS, NO DUTIES. 12. PNR DEVELOPMENT PROGRAM; INV RELATED; 1% MEMBERSHIP INTEREST; OIL & GAS DRILLING; START: 6/2016; 0 HR/MO; 0 DURING TRADING. 15. COG2 HOLDINGS LLC, INV RELATED, HOUSTON, TX, 6.248% MEMBERSHIP INTEREST, START 3/8/2018, ZERO HOURS PER MONTH, ZERO DURING TRADING. 16. TEXAS INDEPENDENT EXPLORATION, INV RELATED, HOUSTON, TX, 10% EQUITY INTEREST, START 1/17/2019, ZERO HOURS PER MONTH, ZERO DURING TRADING, OIL AND GAS MINERAL RIGHTS. 16.AMWELL PA LAND AND MINERAL RIGHTS, INV RELATED, HOUSTON, TX, 10% OWNERSHIP INTEREST, START 2/6/2019, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING, LAND AND ROYALTIES.; 18. TEXAS INDEPENDENT EXPLORATION, INV RELATED, HOUSTON, TX, 10% EQUITY INTEREST, START: 1/17/2019, 0 HRS/MONTH, 0 HRS DURING TRADING, OIL & GAS MINERAL RIGHTS.; 19. LOAN, INV RELATED, HOUSTON, TX, START: 2/28/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; 20. LOAN, INV RELATED, AUSTIN, TX, START: 9/25/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; 21. LOAN, INV RELATED, CEDAR PARK, TX, START: 10/30/2020, 0 HRS/MONTH, 0 HRS DURING TRADING.; 22. LOAN, INV RELATED, SAN ANTONIO, TX, START: 1/31/2022, 0 HRS/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1979-10-16
  • S63 Uniform Securities Agent State Law Examination
    1979-10-16

View on SEC IAPD

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