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

Branch Locations

999 3Rd Ave Ste 4000, Seattle, WA 98104 • United States

Shoreline, 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 Yes
  • 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 Seattle WA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Seattle WA 11/2016 Present
Previous Registrations
  • 1994-09-27 → 2003-07-01
    Prudential Equity Group, Llc
    Seattle, WA
Other Businesses

1.EAST KING COUNTY SOCCER, NOT INVESTMENT RELATED, SEATTLE WA, REFEREE, 2 HOURS/WEEK 6 MONTHS/YEAR, NOT DURING BUSINESS HOURS. 2. SEATTLE SOCCER REFEREE'S ASSOCIATION, NOT INVESTMENT RELATED, SEATTLE WA, REFEREE, BEGAN 2002, 4-6 HOURS/WEEK 9 MONTHS/YEAR, NOT DURING BUSINESS HOURS. 3. NORTH CHAPTER SOCCER ASSOCIATION, NOT INVESTMENT RELATED, SEATTLE WA, REFEREE, 4 HOURS/WEEK, NOR DURING BUSINESS HOURS. 4. GREATER SEATTLE SOCCER LEAGUE, NOT INVESTMENT RELATED, SEATTLE WA, REFEREE, 6 HOURS/WEEK, NOT DURING BUSINESS HOURS. 5. PACIFIC NW BASKETBALL OFFICIALS ASSOC; NOT INVESTMENT RELATED; SHORELINE, WA; HIGH SCHOOL REFEREE; START 12/1/2008; 25 HRS MONTH; 0 DURING BUSINESS; DUTIES - REFEREE 6. WASHINGTON SOCCER REFEREES; NOT INVESTMENT RELATED; SEATTLE, WA; SPORTS OFFICIATING; REFEREE; START 9/15/2013; 40 HOURS PER MONTH; 0 DURING TRADING; DUTIES ARE OFFICIATING SOCCER GAMES. 7. WASHINGTON OFFICIALS ASSOC; NOT INV RELATED; RENTON, WA; REF EVALUATION & SITE COORDINATOR; START 3/21/2016; 12 HOURS PER MONTH, 0 DURING TRADING; EVALUATING SOCCER REFEREES AND OVERSEEING HIGH SCHOOL SOCCER SEMI-FINALS AND FINALS. 8. CYO (CATHOLIC YOUTH ASSOC); NOT INV RELATED; SEATTLE, WA; YOUTH BASKETBALL REFEREE; START 2000; 12 HOURS PER MONTH, 0 DURING TRADING; REFEREE 5TH-8TH GRADE BASKETBALL. 9. WASHINGTON OFFICIALS ASSOCIATION; NOT INVESTMENT RELATED; SHORELINE, WA; OFFICIAL/MENTOR; START 5/27/2016; 10 HOURS PER MONTH/0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-10
S63 Uniform Securities Agent State Law Examination 1984-09-24
  • S65 Uniform Investment Adviser Law Examination
    1992-07-10
  • S63 Uniform Securities Agent State Law Examination
    1984-09-24
Other Names
  • Dave Augustavo
  • Davwid A Augustavo

View on SEC IAPD

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