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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 2002-06-27
  • NC RA
    APPROVED
    Since 2002-06-27

Branch Locations

380 Knollwood St Ste 600 [N4-Rbo], Winston Salem, NC 27103 • United States

221 E Mountain St, Kernersville, NC 27284 • 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 Advisors Llc Winston Salem NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Winston Salem NC 11/2016 Present
Previous Registrations
  • 2002-01-28 → 2002-06-21
    Wachovia Securities, Inc.
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-02
S63 Uniform Securities Agent State Law Examination 1987-12-07
  • S65 Uniform Investment Adviser Law Examination
    2001-07-02
  • S63 Uniform Securities Agent State Law Examination
    1987-12-07

View on SEC IAPD

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