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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 2026-01-06
TX RA APPROVED_RES 2014-11-07
  • FL RA
    APPROVED
    Since 2026-01-06
  • TX RA
    APPROVED_RES
    Since 2014-11-07

Branch Locations

1605 Main St 12Th & 14Th Fls, Sarasota, FL 34236 • 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 Sarasota FL 11/2014 11/2016
Wells Fargo Clearing Services, Llc Sarasota FL 11/2016 Present
Previous Registrations
Other Businesses

FARAWAY PORT, LLC; INV RELATED; SARASOTA, FL; REAL ESTATE; 4.5% OWNERSHIP; START: 8/19/15; 0 HRS/MO; 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-05
S63 Uniform Securities Agent State Law Examination 1989-01-31
  • S65 Uniform Investment Adviser Law Examination
    1992-03-05
  • S63 Uniform Securities Agent State Law Examination
    1989-01-31

View on SEC IAPD

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