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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
DE RA APPROVED 2025-12-03
MD RA APPROVED 2011-03-29
DC RA APPROVED 2011-03-28
  • DE RA
    APPROVED
    Since 2025-12-03
  • MD RA
    APPROVED
    Since 2011-03-29
  • DC RA
    APPROVED
    Since 2011-03-28

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • 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 Yes
  • 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 Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Other Businesses

RENTAL PROPERTY; INV RELATED; REHOBOTH BEACH, DE; OWNER WITH SPOUSE; START: 10/14/16; 5 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-25
S63 Uniform Securities Agent State Law Examination 1985-12-19
  • S65 Uniform Investment Adviser Law Examination
    2011-03-25
  • S63 Uniform Securities Agent State Law Examination
    1985-12-19

View on SEC IAPD

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