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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
NY RA APPROVED 2021-07-27
  • NY RA
    APPROVED
    Since 2021-07-27

Branch Locations

88 Froehlich Farm Blvd, Woodbury, NY 11797 • United States

Lloyd Neck, NY • 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 Woodbury NY 10/2014 11/2016
Wells Fargo Clearing Services, Llc Woodbury NY 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2014-11-10
    Great Neck, NY
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Great Neck, NY
  • 2007-01-12 → 2007-04-02
    Morgan Stanley Dw Inc.
    Great Neck, NY
  • 1985-08-19 → 2007-01-23
    Garden City, NY
    Mitchell Field, NY
Other Businesses

ST PATRICK'S PARISH ; INV RELATED; HUNTINGTON, NY; CHURCH;FINANCE COMMITTEE MEMBER; START DATE: 10/21/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING; |

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-01-08
S63 Uniform Securities Agent State Law Examination 1984-05-24
  • S65 Uniform Investment Adviser Law Examination
    2001-01-08
  • S63 Uniform Securities Agent State Law Examination
    1984-05-24

View on SEC IAPD

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