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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 2018-04-11
  • NM RA
    APPROVED
    Since 2018-04-11

Branch Locations

221 N Kansas St 1St Fl [Tf*/Tk-Rbo], El Paso, TX 79901 • United States

11199 Montgomery Blvd Ne, Albuquerque, NM 87111 • 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 Santa Fe NM 12/2013 Present
Wells Fargo Clearing Services Llc Santa Fe NM 01/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-04-10
S63 Uniform Securities Agent State Law Examination 2018-03-16
  • S65 Uniform Investment Adviser Law Examination
    2018-04-10
  • S63 Uniform Securities Agent State Law Examination
    2018-03-16
Other Names
  • Sabrina M Perez

View on SEC IAPD

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