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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
TX RA APPROVED_RES 2012-11-07
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2012-11-07
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

9771 Mission Gorge Rd, Santee, CA 92071 • United States

4655 Executive Dr Ste 1000 [Sc-Rbo], San Diego, CA 92121 • United States

510 W Washington St, San Diego, CA 92103 • 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 El Cajon CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc El Cajon CA 11/2016 Present
Previous Registrations
  • 2003-11-21 → 2011-01-03
    Wells Fargo Investments, Llc
    El Cajon, CA
    San Diego, CA
    Santee, CA
    El Cajon, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1996-04-09
  • S63 Uniform Securities Agent State Law Examination
    1996-04-09

View on SEC IAPD

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