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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_RES 2018-02-22
FL RA APPROVED 2013-05-13
AL RA APPROVED 2012-06-22
  • TX RA
    APPROVED_RES
    Since 2018-02-22
  • FL RA
    APPROVED
    Since 2013-05-13
  • AL RA
    APPROVED
    Since 2012-06-22

Branch Locations

2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • 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 Birmingham AL 06/2012 11/2016
Wells Fargo Clearing Services, Llc Birmingham AL 11/2016 Present
Previous Registrations
  • 2010-10-15 → 2012-06-22
    Pnc Managed Account Solutions, Inc.
    Houston, TX
  • 2010-07-07 → 2010-10-15
    St Johns Wealth Management
    Birmingham, AL
  • 2002-06-12 → 2010-07-07
    Bbva Compass Investment Solutions, Inc
    Birmingham, AL
    Birmingham, AL
    Birmingham, AL
    Fairfield, AL
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; PENSACOLA, FL; CO-OWNER; BEACH RENTAL PROPERTY; START DATE 2003; 1 HR PER MONTH; 0 HRS DURING TRADING.; TRUSTEE FOR DAUGHTER'S TRUST; INVESTMENT RELATED; BIRMINGHAM, AL ;START DATE 12/1998; 1 HR PER MONTH.; TRUSTEE FOR SON'S TRUST; INVESTMENT RELATED; BIRMINGHAM, AL ;START DATE 12/1998; 1 HR PER MONTH.; POWER OF ATTORNEY FOR SISTER; INV. RELATED; BIRMINGHAM, AL; START DATE 4/2020.; CONDO RENTAL PROPERTY, INVT RELATED, DAUPHIN ISLAND, AL, START DATE 5/15/2021, 0 HRS PER MONTH, 0 HRS DURING TRADING, PROVIDE CONDO.; CO-EXECUTOR / FIDUCIARY FEES FOR BROTHER'S ESTATE; INV. RELATED; BIRMINGHAM, AL; START DATE 6/2022; 2 HRS PER MONTH; 0 HRS DURING TRADING.; EXECUTOR FOR BROTHER'S ESTATE, INV RELATED, GUNTERSVILLE, AL, START: 9/2024, 3 HOURS A MONTH, 1 HOUR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-12-10
S63 Uniform Securities Agent State Law Examination 1986-03-06
  • S65 Uniform Investment Adviser Law Examination
    2012-12-10
  • S63 Uniform Securities Agent State Law Examination
    1986-03-06
Other Names
  • Jean Smallwood
  • Eugenia Ormonde Ross

View on SEC IAPD

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