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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 2010-04-08
  • TX RA
    APPROVED
    Since 2010-04-08

Branch Locations

101 South Locust Street, Denton, TX 76201 • 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 Llc Dallas TX 03/2010 11/2016
Wells Fargo Clearing Services, Llc Dallas TX 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2010-04-12
    Dallas, TX
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Dallas, TX
  • 1984-03-16 → 2007-04-02
    Morgan Stanley Dw Inc.
    Dallas, TX
    Dallas, TX
Other Businesses

SAGE NATURAL RESOURCES, LLC; NOT INVESTMENT RELATED; TULSA,OK; 100% OWNERSHIP; START DATE 01/01/2013; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; GAS DRILLING LEASE.| CITY OF LEWISVILLE, TX 2035 STEERING; NOT INV RELATED; LEWISVILLE, TX; PUBLIC ARTS PLANNING; COMMITTEE MEMBER; START DATE: 08/28/2025; 1 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1980-02-12
  • S63 Uniform Securities Agent State Law Examination
    1980-02-12

View on SEC IAPD

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