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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
WI RA APPROVED 2008-01-01
  • WI RA
    APPROVED
    Since 2008-01-01

Branch Locations

2 Copeland Ave 1St Fl, La Crosse, WI 54603 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Clearing Services, Llc La Crosse WI 11/2016 Present
Wells Fargo Advisors Llc La Crosse WI 05/2009 11/2016
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-12-22
  • S63 Uniform Securities Agent State Law Examination
    1986-12-22
Other Names
  • Arnold Swartz

View on SEC IAPD

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