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Ray Coy Little

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

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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
NC RA APPROVED 2021-10-25
  • NC RA
    APPROVED
    Since 2021-10-25

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

7624 Pineville Matthews Rd, Charlotte, NC 28226 • 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, Llc. Charlotte NC 01/2018 Present
Wells Fargo Bank Na Charlotte NC 11/2016 Present
Grill Marks Columbia SC 07/2015 11/2016
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-10-25
S63 Uniform Securities Agent State Law Examination 2018-04-12
  • S66 Uniform Combined State Law Examination
    2021-10-25
  • S63 Uniform Securities Agent State Law Examination
    2018-04-12
Other Names
  • Ray Little

View on SEC IAPD

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