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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 2024-09-06
FL RA APPROVED 2021-10-11
  • TX RA
    APPROVED_RES
    Since 2024-09-06
  • FL RA
    APPROVED
    Since 2021-10-11

Branch Locations

278 Indian Trace, Weston, FL 33326 • United States

396 Alhambra Cir 8Th Fl [D2-Rbo], Coral Gables, FL 33134 • 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
Wells Fargo Bank, Na Guttenberg NJ 03/2013 Present
Wells Fargo Clearing Services, Llc Guttenberg NJ 05/2017 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-01-15
S63 Uniform Securities Agent State Law Examination 2017-08-10
  • S66 Uniform Combined State Law Examination
    2021-01-15
  • S63 Uniform Securities Agent State Law Examination
    2017-08-10

View on SEC IAPD

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