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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
CO RA APPROVED 2026-07-31
TX RA APPROVED 2026-07-31
  • CO RA
    APPROVED
    Since 2026-07-31
  • TX RA
    APPROVED
    Since 2026-07-31

Branch Locations

1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • 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
Tiaa Denver CO 07/2018 05/2021
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 07/2018 05/2021
Fedex Cheyenne WY 06/2017 08/2017
University Of Wyoming Laramie WY 09/2014 05/2018
Unemployed Denver CO 06/2018 06/2018
Cetera Advisor Netrowks Llc El Segundo CA 05/2021 11/2023
Cetera Advisors Llc St Cloud MN 05/2021 11/2023
Cetera Financial Specialist Llc Schaumburg IL 05/2021 11/2023
First Allied Securities Inc San Diego CA 05/2021 09/2022
Cetera Investment Services Llc St Cloud MN 01/2022 11/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boulder CO 06/2025 07/2026
Colorado Retirement Association Littleton CO 06/2024 06/2025
University Of Kansas Lawrence KS 08/2023 12/2024
Unemployed Cheyenne WY 11/2023 06/2024
Colorado State University Fort Collins CO 08/2022 03/2023
Northwestern Mutual Fort Collins CO 09/2017 11/2017
Bank Of America, N.A. Boulder CO 09/2025 07/2026
Wells Fargo Clearing Services, Llc Denver CO 07/2026 Present
  • 07/2018 → 05/2021
    Tiaa
    Denver, CO
  • 07/2018 → 05/2021
    Tiaa-Cref Individual & Institutional Services, Llc
    Denver, CO
  • 06/2017 → 08/2017
    Fedex
    Cheyenne, WY
  • 09/2014 → 05/2018
    University Of Wyoming
    Laramie, WY
  • 06/2018 → 06/2018
    Unemployed
    Denver, CO
  • 05/2021 → 11/2023
    Cetera Advisor Netrowks Llc
    El Segundo, CA
  • 05/2021 → 11/2023
    Cetera Advisors Llc
    St Cloud, MN
  • 05/2021 → 11/2023
    Cetera Financial Specialist Llc
    Schaumburg, IL
  • 05/2021 → 09/2022
    First Allied Securities Inc
    San Diego, CA
  • 01/2022 → 11/2023
    Cetera Investment Services Llc
    St Cloud, MN
  • 06/2025 → 07/2026
    Boulder, CO
  • 06/2024 → 06/2025
    Colorado Retirement Association
    Littleton, CO
  • 08/2023 → 12/2024
    University Of Kansas
    Lawrence, KS
  • 11/2023 → 06/2024
    Unemployed
    Cheyenne, WY
  • 08/2022 → 03/2023
    Colorado State University
    Fort Collins, CO
  • 09/2017 → 11/2017
    Northwestern Mutual
    Fort Collins, CO
  • 09/2025 → 07/2026
    Bank Of America, N.A.
    Boulder, CO
  • 07/2026 → Present
    Denver, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-08-29
S63 Uniform Securities Agent State Law Examination 2018-09-08
  • S66 Uniform Combined State Law Examination
    2025-08-29
  • S63 Uniform Securities Agent State Law Examination
    2018-09-08
Other Names
  • James Marshall Munoz

View on SEC IAPD

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