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James Lata

Wells Fargo Clearing Services, LLC

Salt Lake City, UT

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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 2018-07-19
  • TX RA
    APPROVED_RES
    Since 2018-07-19

Branch Locations

5201 Amelia Earhart Dr 2Nd & 3Rd Fls [Wt & Cst], Salt Lake City, UT 84116 • 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 Clearing Services Salt Lake City UT 11/2016 Present
Acosta Sales And Marketing Salt Lake City UT 05/2014 10/2016
  • 11/2016 → Present
    Wells Fargo Clearing Services
    Salt Lake City, UT
  • 05/2014 → 10/2016
    Acosta Sales And Marketing
    Salt Lake City, UT
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2018-06-22
  • S63 Uniform Securities Agent State Law Examination
    2018-06-22

View on SEC IAPD

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