John Gerald Caldwell

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2003-07-01

FL RA
APPROVED

Since 2003-07-01

Branch Locations

1 Independent Dr 24Th Fl, Jacksonville, FL 32202 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Ponte Vedra Beach	FL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Ponte Vedra Beach	FL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Ponte Vedra Beach, FL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Ponte Vedra Beach, FL

Previous Registrations

1997-01-03 → 2003-07-01

Prudential Equity Group, Llc

Ponte Vedra Beach, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-06-07
S63	Uniform Securities Agent State Law Examination	1983-12-07

S65 Uniform Investment Adviser Law Examination

1999-06-07
S63 Uniform Securities Agent State Law Examination

1983-12-07

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews