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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
DE RA APPROVED 2024-09-03
MD RA APPROVED 2021-09-30
DC RA APPROVED 2008-01-01
  • DE RA
    APPROVED
    Since 2024-09-03
  • MD RA
    APPROVED
    Since 2021-09-30
  • DC RA
    APPROVED
    Since 2008-01-01

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • United States

Millsboro, DE • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
  • 1996-07-10 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Washington, DC
    St. Louis, MO
Other Businesses

CO-TRUSTEE OF ROBERT & VIRGINIA FAMILY TRUST; INVESTMENT RELATED; START DATE 07/26/2004.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-10-09
S63 Uniform Securities Agent State Law Examination 1979-12-20
  • S65 Uniform Investment Adviser Law Examination
    1992-10-09
  • S63 Uniform Securities Agent State Law Examination
    1979-12-20

View on SEC IAPD

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