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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
CA RA APPROVED 2025-12-04
TX RA APPROVED_RES 2020-10-13
WA RA APPROVED 1997-09-17
  • CA RA
    APPROVED
    Since 2025-12-04
  • TX RA
    APPROVED_RES
    Since 2020-10-13
  • WA RA
    APPROVED
    Since 1997-09-17

Branch Locations

La Quinta, CA • United States

555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • 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 Bellevue WA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bellevue WA 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-12-16
S63 Uniform Securities Agent State Law Examination 1983-01-14
  • S65 Uniform Investment Adviser Law Examination
    1996-12-16
  • S63 Uniform Securities Agent State Law Examination
    1983-01-14

View on SEC IAPD

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