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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 2011-01-10
IL RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2011-01-10
  • IL RA
    APPROVED
    Since 2008-01-01

Branch Locations

500 Lake Cook Rd Stes 175 & 300, Deerfield, IL 60015 • 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 Skokie IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Skokie IL 11/2016 Present
Previous Registrations
  • 2001-01-05 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Skokie, IL
    Skokie, IL
    St. Louis, MO
Other Businesses

RENTAL PROPERTY, INVT RELATED, CHICAGO, IL, 66% OWNERSHIP WITH SPOUSE, START DATE 5/2/2023, 0 HRS PER MONTH, 0 HRS DURING TRADING, PARTIAL OWNER OF RENTAL PROPERTY.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-19
S63 Uniform Securities Agent State Law Examination 1987-12-01
  • S65 Uniform Investment Adviser Law Examination
    1998-08-19
  • S63 Uniform Securities Agent State Law Examination
    1987-12-01
Other Names
  • Susan Mary Barrett

View on SEC IAPD

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