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Keri Lyn James

Wells Fargo Clearing Services, LLC

Oklahoma City, OK

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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
OK RA APPROVED 2012-02-24
TX RA APPROVED_RES 2011-08-31
  • OK RA
    APPROVED
    Since 2012-02-24
  • TX RA
    APPROVED_RES
    Since 2011-08-31

Branch Locations

211 N Robinson Ave Ste N1600 One Leadership Square, Oklahoma City, OK 73102 • 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 Edmonds OK 05/2009 11/2016
Wells Fargo Clearing Services, Llc Edmonds OK 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-21
S65 Uniform Investment Adviser Law Examination 2001-02-09
S63 Uniform Securities Agent State Law Examination 1984-11-05
  • S66 Uniform Combined State Law Examination
    2012-02-21
  • S65 Uniform Investment Adviser Law Examination
    2001-02-09
  • S63 Uniform Securities Agent State Law Examination
    1984-11-05
Other Names
  • Lyn James

View on SEC IAPD

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