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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
CA RA APPROVED 2002-05-03
TX RA APPROVED_RES 1998-02-11
  • CA RA
    APPROVED
    Since 2002-05-03
  • TX RA
    APPROVED_RES
    Since 1998-02-11

Branch Locations

50 W San Fernando St Ste 1500, San Jose, CA 95113 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc San Jose CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Jose CA 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-22
S63 Uniform Securities Agent State Law Examination 1991-04-19
  • S65 Uniform Investment Adviser Law Examination
    1999-05-22
  • S63 Uniform Securities Agent State Law Examination
    1991-04-19

View on SEC IAPD

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