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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 2024-05-29
  • WA RA
    APPROVED
    Since 2024-05-29

Branch Locations

999 3Rd Ave 40Th Fl [Wh/Wk-Rbo], Seattle, WA 98104 • United States

1190 Nw Gilman Blvd, Issaquah, WA 98027 • 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
Tom Douglas Restaurants Seattle WA 04/2013 03/2020
Innovex Environmental Management Redmond WA 09/2014 10/2016
Ameriprise Financial Services, Inc. Marquette MI 11/2016 07/2020
Ameriprise Financial Services, Llc Bellevue WA 04/2021 05/2024
Terra Plata Seattle WA 04/2019 02/2020
Ameriprise Financial Services, Inc. Bellevue WA 08/2020 04/2021
Wells Fargo Clearing Services, Llc Seattle WA 05/2024 Present
  • 04/2013 → 03/2020
    Tom Douglas Restaurants
    Seattle, WA
  • 09/2014 → 10/2016
    Innovex Environmental Management
    Redmond, WA
  • 11/2016 → 07/2020
    Ameriprise Financial Services, Inc.
    Marquette, MI
  • 04/2021 → 05/2024
    Bellevue, WA
  • 04/2019 → 02/2020
    Terra Plata
    Seattle, WA
  • 08/2020 → 04/2021
    Ameriprise Financial Services, Inc.
    Bellevue, WA
  • 05/2024 → Present
    Seattle, WA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-23
  • S66 Uniform Combined State Law Examination
    2018-08-23

View on SEC IAPD

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