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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 2023-05-15
UT RA APPROVED 2016-03-04
  • TX RA
    APPROVED_RES
    Since 2023-05-15
  • UT RA
    APPROVED
    Since 2016-03-04

Branch Locations

1441 W Ute Blvd Ste 380, Park City, UT 84098 • 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 Park City UT 03/2016 11/2016
Wells Fargo Clearing Services, Llc Park City UT 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2016-03-18
    Park City, UT
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Park City, UT
  • 1991-11-29 → 2007-04-02
    Morgan Stanley Dw Inc.
    Park City, UT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-03-01
S63 Uniform Securities Agent State Law Examination 1984-08-22
  • S65 Uniform Investment Adviser Law Examination
    1994-03-01
  • S63 Uniform Securities Agent State Law Examination
    1984-08-22

View on SEC IAPD

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