Philip Douglas Gundy

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2008-01-01

TX RA
APPROVED

Since 2008-01-01

Branch Locations

825 Town And Country Ln Ste 300, Houston, TX 77024 • United States

Houston, TX • United States

Disclosures

2 disclosure categories 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Houston	TX	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Houston	TX	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Houston, TX
11/2016 → Present

Wells Fargo Clearing Services, Llc

Houston, TX

Previous Registrations

2002-11-15 → 2008-01-01

A. G. Edwards & Sons, Inc.

Houston, TX

St. Louis, MO

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1983-01-26

S63 Uniform Securities Agent State Law Examination

1983-01-26