William James Rae

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
NY	RA	APPROVED	2021-07-27
TX	RA	APPROVED_RES	2014-05-06

NY RA
APPROVED

Since 2021-07-27
TX RA
APPROVED_RES

Since 2014-05-06

Branch Locations

6423 Montgomery St Ste 10 2Nd Fl, Rhinebeck, NY 12572 • 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	Poughkeepsie	NY	04/2014	11/2016
Wells Fargo Clearing Services, Llc	Poughkeepsie	NY	11/2016	Present

04/2014 → 11/2016

Wells Fargo Advisors, Llc

Poughkeepsie, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Poughkeepsie, NY

Previous Registrations

2014-03-04 → 2014-05-07

Morgan Stanley

Poughkeepsie, NY

Other Businesses

CO-EXECUTOR OF AUNT'S ESTATE; INV. RELATED; POUGHKEEPSIE, NY; START DATE 11/2020; 5 HRS PER MONTH; 1 HR DURING TRADING. EXECUTOR FOR MOTHER'S ESTATE; INV. RELATED; MILLBROOK, NY; START DATE 2/2022; 4 HRS PER MONTH; 0 HRS DURING TRADING.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-03-04
S63	Uniform Securities Agent State Law Examination	1984-08-28

S65 Uniform Investment Adviser Law Examination

1993-03-04
S63 Uniform Securities Agent State Law Examination

1984-08-28

Other Names

William J Rae

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews