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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
MD RA APPROVED 2021-09-30
TX RA APPROVED_RES 2015-02-12
DC RA APPROVED 2008-01-01
  • MD RA
    APPROVED
    Since 2021-09-30
  • TX RA
    APPROVED_RES
    Since 2015-02-12
  • DC RA
    APPROVED
    Since 2008-01-01

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • 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 Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
  • 2000-08-28 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Washington, DC
    Washington, DC
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-07-19
S63 Uniform Securities Agent State Law Examination 1984-04-13
  • S66 Uniform Combined State Law Examination
    2000-07-19
  • S63 Uniform Securities Agent State Law Examination
    1984-04-13

View on SEC IAPD

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