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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
SC RA APPROVED 2006-07-10
  • SC RA
    APPROVED
    Since 2006-07-10

Branch Locations

1 Greenwood Dr, Hilton Head Island, SC 29928 • United States

320 Broad St 4Th Fl [Rbo], Charleston, SC 29401 • United States

320 Broad St, Charleston, SC 29401 • 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 Hilton Head Island SC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hilton Head Island SC 11/2016 Present
Previous Registrations
  • 2005-06-14 → 2006-07-11
    Morgan Stanley Dw Inc.
    Hilton Head Island, SC
    Hiltonhead, SC
  • 2004-01-01 → 2005-06-15
    Indiana, PA
  • 2003-06-06 → 2004-01-01
    J.J.B. Hilliard, W.L. Lyons, Llc
    Indiana, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-09-24
S63 Uniform Securities Agent State Law Examination 1983-12-12
  • S65 Uniform Investment Adviser Law Examination
    2002-09-24
  • S63 Uniform Securities Agent State Law Examination
    1983-12-12

View on SEC IAPD

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