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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 2015-04-17
VA RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2015-04-17
  • VA RA
    APPROVED
    Since 2008-01-01

Branch Locations

999 Waterside Dr Ste 1800 Dominion Tower, Norfolk, VA 23510 • 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 Norfolk VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Norfolk VA 11/2016 Present
Previous Registrations
  • 1990-09-06 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Norfolk, VA
    Norfolk, VA
    St. Louis, MO
Other Businesses

BISHOP SULLIVAN CATHOLIC HS FOUNDATION; INVESTMENT RELATED; VIRGINIA BEACH,VA; INVESTMENT REVIEW COMMITTEE; START DATE 01/01/2011; NUMBER OF HOURS PER MONTH .5; NUMBER OF HOURS DURING TRADING .5; HELPING REVIEW INVESTMENTS AND PERFORMANCE.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1982-12-30
  • S63 Uniform Securities Agent State Law Examination
    1982-12-30

View on SEC IAPD

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