John Eliot Penn

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-04-30
NJ	RA	APPROVED	2003-07-01

TX RA
APPROVED_RES

Since 2024-04-30
NJ RA
APPROVED

Since 2003-07-01

Branch Locations

200 Campus Dr Ste 220, Florham Park, NJ 07932 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Florham Park	NJ	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Florham Park	NJ	11/2016	Present
Oppenheimer & Co, Inc	Florham Park	NJ	06/2021	06/2021

05/2009 → 11/2016

Wells Fargo Advisors Llc

Florham Park, NJ
11/2016 → Present

Wells Fargo Clearing Services, Llc

Florham Park, NJ
06/2021 → 06/2021

Oppenheimer & Co, Inc

Florham Park, NJ

Previous Registrations

2021-06-21 → 2021-06-25

Oppenheimer & Co. Inc.

Florham Park, NJ
2002-06-12 → 2003-07-01

Prudential Equity Group, Llc

Florham, NJ

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-12-17
S63	Uniform Securities Agent State Law Examination	1983-10-27

S65 Uniform Investment Adviser Law Examination

1993-12-17
S63 Uniform Securities Agent State Law Examination

1983-10-27

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews