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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
SC RA APPROVED 2011-06-01
  • SC RA
    APPROVED
    Since 2011-06-01

Branch Locations

16 Broad St, Charleston, SC 29401 • United States

320 Broad St 4Th Fl [Rbo], Charleston, SC 29401 • 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 Seneca SC 03/2011 11/2016
Wachovia Bank, N.A. Seneca SC 06/2010 Present
Wells Fargo Clearing Services, Llc Seneca SC 11/2016 Present
  • 03/2011 → 11/2016
    Wells Fargo Advisors Llc
    Seneca, SC
  • 06/2010 → Present
    Wachovia Bank, N.A.
    Seneca, SC
  • 11/2016 → Present
    Seneca, SC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-05-31
S63 Uniform Securities Agent State Law Examination 2011-05-16
  • S65 Uniform Investment Adviser Law Examination
    2011-05-31
  • S63 Uniform Securities Agent State Law Examination
    2011-05-16

View on SEC IAPD

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