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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
ID RA APPROVED 2019-09-19
CA RA APPROVED 2016-02-11
TX RA APPROVED_RES 2012-07-11
WA RA APPROVED 2007-08-24
  • ID RA
    APPROVED
    Since 2019-09-19
  • CA RA
    APPROVED
    Since 2016-02-11
  • TX RA
    APPROVED_RES
    Since 2012-07-11
  • WA RA
    APPROVED
    Since 2007-08-24

Branch Locations

555 110Th Ave Ne 10Th Fl, Bellevue, WA 98004 • United States

Coeur D' Alene, ID • United States

Seattle, WA • 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 Bellevue WA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Bellevue WA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-03-11
S63 Uniform Securities Agent State Law Examination 1983-03-28
  • S65 Uniform Investment Adviser Law Examination
    1993-03-11
  • S63 Uniform Securities Agent State Law Examination
    1983-03-28

View on SEC IAPD

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