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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 2023-12-14
WA RA APPROVED 2023-12-14
  • TX RA
    APPROVED
    Since 2023-12-14
  • WA RA
    APPROVED
    Since 2023-12-14

Branch Locations

205 108Th Ave Ne 6Th Fl, Bellevue, WA 98004 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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
Bank Of America, N.A. Princeton NJ 04/2017 06/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Princeton NJ 04/2017 06/2020
Unemployed Princeton NJ 10/2015 04/2017
Morgan Stanley Smith Barney Llc Kirkland WA 06/2020 11/2023
Morgan Stanley Private Bank, N.A New York NY 12/2020 11/2023
Wells Fargo Clearing Services Bellevue WA 11/2023 Present
Wells Fargo Bank Bellevue WA 11/2023 Present
  • 04/2017 → 06/2020
    Bank Of America, N.A.
    Princeton, NJ
  • 04/2017 → 06/2020
    Princeton, NJ
  • 10/2015 → 04/2017
    Unemployed
    Princeton, NJ
  • 06/2020 → 11/2023
    Morgan Stanley Smith Barney Llc
    Kirkland, WA
  • 12/2020 → 11/2023
    Morgan Stanley Private Bank, N.A
    New York, NY
  • 11/2023 → Present
    Wells Fargo Clearing Services
    Bellevue, WA
  • 11/2023 → Present
    Wells Fargo Bank
    Bellevue, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-07-05
  • S66 Uniform Combined State Law Examination
    2017-07-05
Other Names
  • Joanne Wang

View on SEC IAPD

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