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Benjamin L Hargett

Wells Fargo Clearing Services, LLC

St. Louis, MO

Charlotte, NC

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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
NC RA APPROVED 2022-08-25
  • NC RA
    APPROVED
    Since 2022-08-25

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103 • UNITED STATES

401 S Tryon Street, Charlotte, NC 28202 • 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
Lpl Financial, Llc Fort Mill SC 07/2015 03/2022
Wells Fargo Clearing Services Charlotte NC 08/2022 Present
Unemployed Huntersville NC 04/2022 07/2022
  • 07/2015 → 03/2022
    Lpl Financial, Llc
    Fort Mill, SC
  • 08/2022 → Present
    Wells Fargo Clearing Services
    Charlotte, NC
  • 04/2022 → 07/2022
    Unemployed
    Huntersville, NC
Previous Registrations
  • 2020-05-08 → 2022-04-29
    Lpl Financial Llc
    Fort Mill, SC
  • 2003-04-23 → 2004-06-30
    Newport Group Securities, Inc.
    Heathrow, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2022-09-30
  • S63 Uniform Securities Agent State Law Examination
    2022-09-30
Designations
Other Names
  • Benjamin Lawrence Hargett

View on SEC IAPD

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