Marc John Spiegel

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
NV	RA	APPROVED	2024-01-16
TX	RA	APPROVED_RES	2016-10-21
CA	RA	APPROVED	2003-07-01

NV RA
APPROVED

Since 2024-01-16
TX RA
APPROVED_RES

Since 2016-10-21
CA RA
APPROVED

Since 2003-07-01

Branch Locations

21600 Oxnard St, 18Th Fl, Tower I Warner Center Towers, Woodland Hills, CA 91367 • United States

6005 Plumas St Ste 200, Reno, NV 89519 • United States

Reno, NV • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Woodland Hills	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Woodland Hills	CA	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Woodland Hills, CA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Woodland Hills, CA

Previous Registrations

1997-07-08 → 2003-07-01

Prudential Equity Group, Llc

Encino, CA

Other Businesses

CO-TRUSTEE FOR FATHER'S TRUST, INV RELATED, HENDERSON, NV, START: 5/22/2022, 0 HOURS A MONTH, 0 HOURS DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-07-09
S63	Uniform Securities Agent State Law Examination	1988-09-08

S65 Uniform Investment Adviser Law Examination

1992-07-09
S63 Uniform Securities Agent State Law Examination

1988-09-08

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews