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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 2003-07-01
  • TX RA
    APPROVED
    Since 2003-07-01

Branch Locations

8115 Preston Rd Ste 300, Dallas, TX 75225 • 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 Dallas TX 05/2009 11/2016
Wells Fargo Clearing Services, Llc Dallas TX 11/2016 Present
Previous Registrations
  • 1987-07-13 → 2003-07-01
    Prudential Equity Group, Llc
    Dallas, TX
Other Businesses

POWER OF ATTORNEY FOR SISTER; INV RELATED;OXFORD,OH; POA ; POWER OF ATTORNEY/CO-POWER OF ATTORNEY; START DATE: 06/15/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-13
S63 Uniform Securities Agent State Law Examination 1982-02-03
  • S65 Uniform Investment Adviser Law Examination
    1993-01-13
  • S63 Uniform Securities Agent State Law Examination
    1982-02-03
Designations
Other Names
  • John A Mogk

View on SEC IAPD

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