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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
AZ RA APPROVED 2023-01-31
TX RA APPROVED_RES 2023-01-26
  • AZ RA
    APPROVED
    Since 2023-01-31
  • TX RA
    APPROVED_RES
    Since 2023-01-26

Branch Locations

161 E Rivulon Blvd 2Nd Floor, Suite 201, Gilbert, AZ 85297 • United States

Gilbert, AZ • 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
Ubs Financial Services Inc. Scottsdale AZ 09/2015 01/2023
Wells Fargo Clearing Services, Llc Gilbert AZ 01/2023 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-15
S63 Uniform Securities Agent State Law Examination 1982-04-06
  • S65 Uniform Investment Adviser Law Examination
    1992-06-15
  • S63 Uniform Securities Agent State Law Examination
    1982-04-06
Other Names
  • Doug Moyer

View on SEC IAPD

Other Firms

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