Best Investors Account Sign in
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 2012-03-22
  • TX RA
    APPROVED
    Since 2012-03-22

Branch Locations

111 Congress Ave 3Rd Fl, Austin, TX 78701 • 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 Austin TX 03/2012 11/2016
Wells Fargo Clearing Services, Llc Austin TX 11/2016 Present
Previous Registrations
  • 2009-10-23 → 2012-04-02
    Austin, TX
    Austin, TX
  • 2003-11-05 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Austin, TX
    Austin, TX
  • 1987-12-09 → 2003-10-16
    Morgan Stanley Dw Inc.
    Austin, TX
Other Businesses

AUTHOR; NON INV RELATED; AUSTIN, TX; KILLING MY FATHER THEN FINDING HIM; START: 5/21/18; 2 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-02-10
S63 Uniform Securities Agent State Law Examination 1983-03-25
  • S65 Uniform Investment Adviser Law Examination
    1993-02-10
  • S63 Uniform Securities Agent State Law Examination
    1983-03-25

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Austin, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor