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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
MD RA APPROVED 2024-06-24
DC RA APPROVED 2003-07-01
  • MD RA
    APPROVED
    Since 2024-06-24
  • DC RA
    APPROVED
    Since 2003-07-01

Branch Locations

1700 K St Nw Ste 875, Washington, DC 20006 • United States

Silver Spring, MD • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
  • 1995-05-25 → 2003-07-01
    Prudential Equity Group, Llc
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-04-13
S63 Uniform Securities Agent State Law Examination 1993-03-02
  • S65 Uniform Investment Adviser Law Examination
    1995-04-13
  • S63 Uniform Securities Agent State Law Examination
    1993-03-02
Other Names
  • Jim Purce

View on SEC IAPD

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