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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
NY RA APPROVED 2021-07-27
  • NY RA
    APPROVED
    Since 2021-07-27

Branch Locations

Farmingdale, NY • United States

68 S Service Rd Ste 200, Melville, NY 11747 • 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 Melville NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Melville NY 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-07
S63 Uniform Securities Agent State Law Examination 1982-05-26
  • S65 Uniform Investment Adviser Law Examination
    2001-02-07
  • S63 Uniform Securities Agent State Law Examination
    1982-05-26

View on SEC IAPD

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