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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
VA RA APPROVED 2024-06-28
DC RA APPROVED 2016-07-18
  • VA RA
    APPROVED
    Since 2024-06-28
  • DC RA
    APPROVED
    Since 2016-07-18

Branch Locations

1700 K St Nw Ste 875, Washington, DC 20006 • United States

Mclean, VA • United States

Mclean, VA • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Washington DC 07/2016 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-04-08
S63 Uniform Securities Agent State Law Examination 1980-12-23
  • S65 Uniform Investment Adviser Law Examination
    1992-04-08
  • S63 Uniform Securities Agent State Law Examination
    1980-12-23
Other Names
  • Steve Brady
  • Steven Edward Brady

View on SEC IAPD

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