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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 2014-01-08
TN RA APPROVED 2008-01-01
  • TX RA
    APPROVED
    Since 2014-01-08
  • TN RA
    APPROVED
    Since 2008-01-01

Branch Locations

265 Brookview Centre Way Ste 100, Knoxville, TN 37919 • United States

Knoxville, TN • 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 Knoxville TN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Knoxville TN 11/2016 Present
Previous Registrations
  • 2006-09-18 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Knoxville, TN
    St. Louis, MO
Other Businesses

HOLDS INACTIVE LIFE AND HEALTH INSURANCE LICENSE. RECEIVES 1099 INCOME TRAIL COMMISSIONS FROM VESTING AS AN INSURANCE AGENT PRIOR TO EMPLOYMENT AT AGE. RENTAL PROPERTY; HOUSE & FARM; INVESTMENT RELATED; MARYVILLE, TN; 33.33% OWNERSHIP; START 10/15/2013; NO TIME DEVOTED.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-09-15
  • S66 Uniform Combined State Law Examination
    2006-09-15

View on SEC IAPD

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