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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
NJ RA APPROVED 2003-07-01
  • NJ RA
    APPROVED
    Since 2003-07-01

Branch Locations

331 Newman Springs Rd Bldg 2, 3Rd Fl, Red Bank, NJ 07701 • United States

Wall, NJ • 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 Spring Lake NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Spring Lake NJ 11/2016 Present
Previous Registrations
  • 2002-07-30 → 2003-07-01
    Prudential Equity Group, Llc
    Spring Lake, NJ
Other Businesses

TRUSTEE FOR SPOUSE, INV RELATED, WALL TOWNSHIP, NJ, START: 8/16/2018, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-01-12
S63 Uniform Securities Agent State Law Examination 1986-02-26
  • S65 Uniform Investment Adviser Law Examination
    1993-01-12
  • S63 Uniform Securities Agent State Law Examination
    1986-02-26

View on SEC IAPD

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