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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
NY RA APPROVED 2021-07-27
TX RA APPROVED 2008-08-07
  • NY RA
    APPROVED
    Since 2021-07-27
  • TX RA
    APPROVED
    Since 2008-08-07

Branch Locations

196 2Nd Ave, Gloversville, NY 12078 • United States

Amsterdam, NY • 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 Saratoga Springs NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Saratoga Springs NY 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2008-08-11
    Morgan Stanley & Co. Llc
    Amsterdam, NY
  • 2006-09-08 → 2007-04-02
    Morgan Stanley Dw Inc.
    Amsterdam, NY
Other Businesses

GRECO LLC, NON INVESTMENT RELATED, AMTERDAM, NY, FAMILY LLC TO HOLD REAL ESTATE, 50% OWNERSHIP, START DATE: 6/01, 0 HRS PER MTH.; RENTAL PROPERTY, INV RELATED, HIGHLAND BEACH, FL, OWNED BY FAMILY TRUST, CONDO RENTAL, START: 1/2017, 0 HRS/MO, 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-03
S63 Uniform Securities Agent State Law Examination 1983-12-16
  • S65 Uniform Investment Adviser Law Examination
    1994-12-03
  • S63 Uniform Securities Agent State Law Examination
    1983-12-16

View on SEC IAPD

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