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Richard F Barry

Wells Fargo Clearing Services, LLC

Napa, CA

Napa, CA

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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 2021-09-01
CA RA APPROVED 2011-09-19
  • TX RA
    APPROVED_RES
    Since 2021-09-01
  • CA RA
    APPROVED
    Since 2011-09-19

Branch Locations

1455 First St Ste 201, Napa, CA 94559 • United States

Napa, CA • 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 Santa Rosa CA 09/2011 11/2016
Wells Fargo Clearing Services, Llc Santa Rosa CA 11/2016 Present
Previous Registrations
Other Businesses

SUPREME COURT OF PA; NOT INV RELATED; HARRISBURG, PA; INACTIVE ATTORNEY LICENSE; START 5/09.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-02-02
S63 Uniform Securities Agent State Law Examination 1991-11-01
  • S65 Uniform Investment Adviser Law Examination
    2008-02-02
  • S63 Uniform Securities Agent State Law Examination
    1991-11-01
Designations
Other Names
  • Richard Francis Barry
  • Dick Barry
  • Richard Francis Barry
  • Richard Francis Barry
  • Richard Francis Barry
  • Richard F Barry
  • Richard Barry
  • Ric Barry

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NAPA, CA
MORGAN STANLEY · Napa, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
LPL FINANCIAL LLC · NAPA, CA
HARRINGTON INVESTMENTS, INC. · NAPA, CA
WELLS FARGO CLEARING SERVICES, LLC · NAPA, CA
5T WEALTH, LLC · NAPA, CA
BENEFITS PLUS, LLC · NAPA, CA

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