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Steven James Barbas

Wells Fargo Clearing Services, LLC

Lake Oswego, OR

Vancouver, WA

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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
OR RA APPROVED 2016-11-09
WA RA APPROVED 2016-11-09
  • OR RA
    APPROVED
    Since 2016-11-09
  • WA RA
    APPROVED
    Since 2016-11-09

Branch Locations

15955 Sw Boones Ferry Rd, Lake Oswego, OR 97035 • United States

700 Sw Washington St 5Th Fl Ste 501 [Wd-Rbo], Vancouver, WA 98660 • 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
Wells Fargo Bank, Na Lake Oswego OR 08/2014 Present
Wells Fargo Advisors, Llc Lake Oswego OR 08/2016 11/2016
Wells Fargo Clearing Services, Llc Lake Oswego OR 11/2016 Present
  • 08/2014 → Present
    Wells Fargo Bank, Na
    Lake Oswego, OR
  • 08/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Lake Oswego, OR
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Lake Oswego, OR
Other Businesses

RENTAL PROPERTY, NOT INV RELATED, BEAVERTON, OR, 100% OWNERSHIP, START 10/1/2009, 1 HOUR PER MONTH, ZERO DURING TRADING, LANDLORD.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-09
S63 Uniform Securities Agent State Law Examination 2016-10-18
  • S65 Uniform Investment Adviser Law Examination
    2016-11-09
  • S63 Uniform Securities Agent State Law Examination
    2016-10-18
Other Names
  • Steven Barbas

View on SEC IAPD

Other Firms

PANORAMIC CAPITAL PARTNERS LLC
NORTHMARQ FUND MANAGEMENT, LLC
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
RBC CAPITAL MARKETS, LLC
CWM, LLC
LPL FINANCIAL LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
PACIFIC RIDGE CAPITAL PARTNERS, LLC

Other Investors

Grace Buchanan
ANDREW GEORGE ROUNSAVELLE CARTER
LISA M CASELLI
Nicholas Jacob Hubert
Catherine A Groff
MARCUS CHRISTIAN PARKER
JEFFREY DAVID KANTOR
JUSTIN PATRICK LINDSEY

Other Offices

PANORAMIC CAPITAL PARTNERS LLC · LAKE OSWEGO, OR
NORTHMARQ FUND MANAGEMENT, LLC · LAKE OSWEGO, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR
RBC CAPITAL MARKETS, LLC · Lake Oswego, OR
CWM, LLC · Lake Oswego, OR
LPL FINANCIAL LLC · LAKE OSWEGO, OR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Lake Oswego, OR
STEWARD PARTNERS INVESTMENT ADVISORY, LLC · LAKE OSWEGO, OR

More in Lake Oswego, OR

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