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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_RES 2012-12-19
CO RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2012-12-19
  • CO RA
    APPROVED
    Since 2008-01-01

Branch Locations

143 Union Blvd Ste 1050, Lakewood, CO 80228 • 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 Lakewood CO 05/2009 11/2016
Wells Fargo Clearing Services, Llc Lakewood CO 11/2016 Present
Previous Registrations
  • 2005-09-06 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Lakewood, CO
    Lakewood, CO
    St. Louis, MO
  • 2002-05-01 → 2005-08-29
    Morgan Stanley Dw Inc.
    Denver, CO
Other Businesses

CANMAC ENGINEERING CORPORATION, NOT INVT RELATED, GOLDEN, CO, 100% OWNERSHIP BY SPOUSE, START DATE 1/1/1982, 1 HR PER MONTH, 0 HRS DURING TRADING, SECRETARY AND CHECK SIGNER.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-09-08
S63 Uniform Securities Agent State Law Examination 1984-05-09
  • S66 Uniform Combined State Law Examination
    1998-09-08
  • S63 Uniform Securities Agent State Law Examination
    1984-05-09
Other Names
  • Betsy Thorpe
  • Betsy Mcguigan

View on SEC IAPD

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