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Charles Edward Mackenzie

Wells Fargo Clearing Services, LLC

Allentown, PA

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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 2011-12-02
PA RA APPROVED 2007-01-31
  • TX RA
    APPROVED
    Since 2011-12-02
  • PA RA
    APPROVED
    Since 2007-01-31

Branch Locations

4905 W Tilghman St Ste 350, Allentown, PA 18104 • 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 Allentown PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Allentown PA 11/2016 Present
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-08-07
S65 Uniform Investment Adviser Law Examination 1994-12-06
  • S63 Uniform Securities Agent State Law Examination
    1995-08-07
  • S65 Uniform Investment Adviser Law Examination
    1994-12-06

View on SEC IAPD

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CETERA INVESTMENT ADVISERS LLC
AMERIPRISE FINANCIAL SERVICES, LLC
GURNIAK FINANCIAL ADVISORS, INC.

Other Investors

Jessica Ann Paretta
Chris Talpas
JOHN DAVID TUMOLO
PATRICK JAMES HUTCHINSON
DAVID FREDERICK GUENSCH
REKHA MUKESH TRIVEDI
ALIASGHER NURALI SOMJI
Timothy O'Connors

Other Offices

LPL FINANCIAL LLC · ALLENTOWN, PA
SECTOR ANALYSTS LLC · ALLENTOWN, PA
LOMBARD ADVISERS INCORPORATED · Allentown, PA
WELLS FARGO CLEARING SERVICES, LLC · TREXLERTOWN, PA
J.P. MORGAN SECURITIES LLC · Trexlertown, PA
ERICKSON FINANCIAL GROUP, LLC · ALLENTOWN, PA
CETERA INVESTMENT ADVISERS LLC · ALLENTOWN, PA
AMERIPRISE FINANCIAL SERVICES, LLC · WESCOSVILLE, PA

More in Allentown, PA

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