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Esperanza Medina Carter

Wells Fargo Clearing Services, LLC

Dallas, TX

Fort Worth, TX

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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 2018-07-23
  • TX RA
    APPROVED
    Since 2018-07-23

Branch Locations

9508 Garland Rd, Dallas, TX 75218 • United States

201 Main St 4Th Fl [Te-Rbo], Fort Worth, TX 76102 • 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 Dallas TX 10/2012 Present
Wells Fargo Clearing Services, Llc Dallas TX 01/2018 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-07-21
S63 Uniform Securities Agent State Law Examination 2018-05-14
  • S65 Uniform Investment Adviser Law Examination
    2018-07-21
  • S63 Uniform Securities Agent State Law Examination
    2018-05-14
Other Names
  • Esperanza Medina
  • Esperanza M Ly
  • Esperanza Carter

View on SEC IAPD

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