Richard Edwin Barron

Wells Fargo Clearing Services, LLC

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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

Authority	Category	Status	Date
VA	RA	APPROVED	2024-06-28
DC	RA	APPROVED	2022-07-19
TX	RA	APPROVED_RES	2022-07-14

VA RA
APPROVED

Since 2024-06-28
DC RA
APPROVED

Since 2022-07-19
TX RA
APPROVED_RES

Since 2022-07-14

Branch Locations

1700 K St Nw 9Th Fl [Du-Rbo], Washington, DC 20006 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Washington	DC	05/2016	07/2022
Bank Of America, N.A.	Washington	DC	05/2016	07/2022
Wells Fargo Clearing Services, Llc	Washington	DC	07/2022	Present

05/2016 → 07/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC
05/2016 → 07/2022

Bank Of America, N.A.

Washington, DC
07/2022 → Present

Wells Fargo Clearing Services, Llc

Washington, DC

Previous Registrations

2016-06-09 → 2022-07-09

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC
2009-12-24 → 2016-06-06

Deutsche Bank Securities Inc.

Washington, DC
2005-06-17 → 2010-01-04

Truist Investment Services, Inc.

Laurel, MD

Vienna, VA
2004-03-10 → 2005-06-13

Truist Securities, Inc.

Washington, DC
2001-06-15 → 2004-02-03

Morgan Stanley Dw Inc.

Annapolis, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-02-09
S63	Uniform Securities Agent State Law Examination	1980-02-07

S65 Uniform Investment Adviser Law Examination

2001-02-09
S63 Uniform Securities Agent State Law Examination

1980-02-07

View on SEC IAPD

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ORIDIAN CAPITAL MANAGEMENT, L.P. · WASHINGTON, DC

C5 CAPITAL USA LLC · WASHINGTON, DC

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