James Duane Becker

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2018-06-11

MN RA
APPROVED

Since 2018-06-11

Branch Locations

407 Pine St, Monticello, MN 55362 • United States

90 S 7Th St Fl 10 [Mn- Rbo], Minneapolis, MN 55402 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Bank, Na	Monticello	MN	06/2012	Present
Wells Fargo Clearing Services, Llc	Monticello	MN	01/2018	Present

06/2012 → Present

Wells Fargo Bank, Na

Monticello, MN
01/2018 → Present

Wells Fargo Clearing Services, Llc

Monticello, MN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-06-07
S63	Uniform Securities Agent State Law Examination	2018-05-10

S65 Uniform Investment Adviser Law Examination

2018-06-07
S63 Uniform Securities Agent State Law Examination

2018-05-10

Other Names

James Becker

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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