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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
FL RA APPROVED 2014-06-25
TX RA APPROVED_RES 2013-11-18
NJ RA APPROVED 2003-07-01
  • FL RA
    APPROVED
    Since 2014-06-25
  • TX RA
    APPROVED_RES
    Since 2013-11-18
  • NJ RA
    APPROVED
    Since 2003-07-01

Branch Locations

1051 W Sherman Ave Bldg 5/Ste B, Vineland, NJ 08360 • 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 Marlton NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Marlton NJ 11/2016 Present
Previous Registrations
  • 2002-06-19 → 2003-07-01
    Prudential Equity Group, Llc
    Marlton, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-12
S63 Uniform Securities Agent State Law Examination 1985-02-04
  • S65 Uniform Investment Adviser Law Examination
    1997-05-12
  • S63 Uniform Securities Agent State Law Examination
    1985-02-04

View on SEC IAPD

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