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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
CO RA APPROVED 2011-01-03
  • CO RA
    APPROVED
    Since 2011-01-03

Branch Locations

10900 S Parker Rd, Parker, CO 80134 • United States

5613 Dtc Parkway 9Th Fl [Mb-Rbo], Greenwood Village, CO 80111 • 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 Denver CO 01/2011 11/2016
Wells Fargo Clearing Services, Llc Denver CO 11/2016 Present
Previous Registrations
  • 2006-12-07 → 2011-01-03
    Wells Fargo Investments, Llc
    Parker, CO
    Centennial, CO
    Aurora, CO
    Aurora, CO
    Aurora, CO
    Denver, CO
  • 2005-07-29 → 2006-12-07
    Next Financial Group, Inc.
    Golden, CO
    Golden, CO
  • 2004-01-05 → 2005-08-01
    Cedrus
    Golden, CO
  • 2001-02-28 → 2004-01-13
    Securities America Advisors, Inc.
    Englewood, CO
Other Businesses

6023 INDIANOLA, LLC, INVESTMENT RELATED, CHANDLER, AZ, 50.01% OWNERS, START: 11/2011, 0 HOUR SPER MONTH/0 DURING TRADING, DUTIES: PARTIAL OWNER FOR RENTAL INVESTMENT HOLDINGS LLC, INV RELATED, PARKER, CO, 100% OWNER, START: JULY 2017, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: REAL ESTATE INVESTMENT. RENTAL PROPERTY, INVT RELATED, KEYSTONE, CO, 100% OWNERSHIP, START DATE 11/1/2019, 1 HR PER MONTH, 0 HRS DURING TRADING, MAINTAIN RENTAL PROPERTY. RENTAL PROPERTY; INV. RELATED; PEORIA, AZ; 100% OWNERSHIP; START DATE 1/1/2025; 1 HR PER MONTH; 0 HRS DURING TRADING. | RENTAL PROPERTY; INV RELATED; PEORIA, AZ; 100% OWNERSHIP; 03/15/2025; 1 HOUR PER MONTH; 0 DURING TRADING; RENTAL | TJ GOLDEN REAL ESTATE, LLC; INV RELATED; PEORIA, AZ; 100% OWNERSHIP; 1 HOUR PER MONTH; 0 DURING TRADING; TO HOLD RENTAL PROPERTY

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-05-23
  • S63 Uniform Securities Agent State Law Examination
    1984-05-23
Designations

View on SEC IAPD

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