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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
TX RA APPROVED_RES 2012-06-01
OK RA APPROVED 2012-05-21
  • TX RA
    APPROVED_RES
    Since 2012-06-01
  • OK RA
    APPROVED
    Since 2012-05-21

Branch Locations

3540 S Boulevard St Ste 110, Edmond, OK 73013 • 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 Oklahoma City OH 05/2012 11/2016
Wells Fargo Clearing Services, Llc Oklahoma City OH 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2012-06-04
    Oklahoma City, OK
    Norman, OK
    Oklahoma City, OK
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Oklahoma City, OK
  • 1999-07-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Oklahoma City, OK
    Norman, OK
Other Businesses

KARIM PRODUCTIONS, INV RELATED, OKLAHOMA CITY, OK, 100% OWNERSHIP, START 1/1/1975, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDS OWNERSHIP OF TV PRODUCTIONS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-03-02
S65 Uniform Investment Adviser Law Examination 1999-03-02
  • S63 Uniform Securities Agent State Law Examination
    1999-03-02
  • S65 Uniform Investment Adviser Law Examination
    1999-03-02
Other Names
  • Karim E Karim

View on SEC IAPD

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