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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
NV RA APPROVED 2019-10-23
MI RA APPROVED 2010-09-24
  • NV RA
    APPROVED
    Since 2019-10-23
  • MI RA
    APPROVED
    Since 2010-09-24

Branch Locations

4660 S Hagadorn Rd Ste 300, East Lansing, MI 48823 • United States

Henderson, NV • United States

Williamston, MI • 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 East Lansing MI 05/2009 11/2016
Wells Fargo Clearing Services, Llc East Lansing MI 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-14
S63 Uniform Securities Agent State Law Examination 1983-03-10
  • S65 Uniform Investment Adviser Law Examination
    2001-08-14
  • S63 Uniform Securities Agent State Law Examination
    1983-03-10

View on SEC IAPD

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