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Jeffrey Thomas Brockway

Wells Fargo Clearing Services, LLC

Portage, MI

Bonita Springs, FL

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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
FL RA APPROVED 2023-11-30
TX RA APPROVED 2018-08-14
MI RA APPROVED 2011-04-01
  • FL RA
    APPROVED
    Since 2023-11-30
  • TX RA
    APPROVED
    Since 2018-08-14
  • MI RA
    APPROVED
    Since 2011-04-01

Branch Locations

7900 Moorsbridge Rd, Portage, MI 49024 • United States

Bonita Springs, FL • 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 Kalamazoo MI 05/2009 11/2016
Wells Fargo Clearing Services, Llc Kalamazoo MI 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-03-25
S63 Uniform Securities Agent State Law Examination 1985-07-19
  • S65 Uniform Investment Adviser Law Examination
    2011-03-25
  • S63 Uniform Securities Agent State Law Examination
    1985-07-19

View on SEC IAPD

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ZHANG FINANCIAL · PORTAGE, MI
EDELMAN FINANCIAL ENGINES · PORTAGE, MI
EDWARD JONES · Portage, MI
PFS INVESTMENTS INC. · PORTAGE, MI
PFS INVESTMENTS INC. · PORTAGE, MI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · PORTAGE, MI
PFS INVESTMENTS INC. · PORTAGE, MI
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · PORTAGE, MI

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