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James Michael Elsman

Wells Fargo Clearing Services, LLC

Mountain Lakes, NJ

Chatham, MA

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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
TX RA APPROVED_RES 2013-10-17
NJ RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2013-10-17
  • NJ RA
    APPROVED
    Since 2008-01-01

Branch Locations

333 Route 46 W Ste 101, Mountain Lakes, NJ 07046 • United States

Chatham, MA • 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 Rockaway NJ 05/2009 11/2016
Wells Fargo Clearing Services, Llc Rockaway NJ 11/2016 Present
Previous Registrations
  • 2003-10-14 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Rockaway, NJ
    St. Louis, MO
    Rockaway, NJ
Other Businesses

CO-TRUSTEE FOR PARENT'S TRUST; INVESTMENT RELATED; ROCKAWAY,NJ; START DATE 5/4/1995; MINIMAL TIME SPENT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-25
S63 Uniform Securities Agent State Law Examination 1986-08-28
  • S65 Uniform Investment Adviser Law Examination
    2016-05-25
  • S63 Uniform Securities Agent State Law Examination
    1986-08-28
Other Names
  • Jim Elsman

View on SEC IAPD

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