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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
NM RA APPROVED 2008-01-01
  • NM RA
    APPROVED
    Since 2008-01-01

Branch Locations

505 S Main St Ste 126, Las Cruces, NM 88001 • 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 Advisors Llc Roswell NM 05/2009 11/2016
Wells Fargo Clearing Services, Llc Roswell NM 11/2016 Present
Previous Registrations
  • 2007-04-03 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Roswell, NM
    Roswell, NM
    St. Louis, MO
Other Businesses

TRUSTEE FOR PARENTS; INVESTMENT RELATED; ROSWELL, NM; START DATE=1997

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-04-02
S63 Uniform Securities Agent State Law Examination 1999-04-06
  • S65 Uniform Investment Adviser Law Examination
    2007-04-02
  • S63 Uniform Securities Agent State Law Examination
    1999-04-06

View on SEC IAPD

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