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Rocky Delane Harwood

Wells Fargo Clearing Services, LLC

Greensboro, NC

Greensboro, NC

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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 2003-07-01
  • NC RA
    APPROVED
    Since 2003-07-01

Branch Locations

806 Green Valley Rd Ste 100, Greensboro, NC 27408 • United States

Greensboro, NC • 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 Advisors Llc Greensboro NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Greensboro NC 11/2016 Present
Previous Registrations
  • 2001-12-31 → 2003-07-01
    Prudential Equity Group, Llc
    Greensboro, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-12-08
S63 Uniform Securities Agent State Law Examination 1980-12-23
  • S65 Uniform Investment Adviser Law Examination
    1992-12-08
  • S63 Uniform Securities Agent State Law Examination
    1980-12-23

View on SEC IAPD

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NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · GREENSBORO, NC
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