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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
SD RA APPROVED 2011-01-03
  • SD RA
    APPROVED
    Since 2011-01-03

Branch Locations

6100 S Old Village Pl Ste 200 [Gm-Rbo], Sioux Falls, SD 57108 • United States

402 S Main St, Milbank, SD 57252 • United States

10 N Broadway Ste 101, Watertown, SD 57201 • 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 Advisors Llc Watertown SD 01/2011 11/2016
Wells Fargo Clearing Services, Llc Watertown SD 11/2016 Present
Previous Registrations
  • 2006-05-02 → 2011-01-03
    Wells Fargo Investments, Llc
    Watertown, SD
    Watertown, SD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-04-03
S63 Uniform Securities Agent State Law Examination 1999-04-15
  • S65 Uniform Investment Adviser Law Examination
    2000-04-03
  • S63 Uniform Securities Agent State Law Examination
    1999-04-15

View on SEC IAPD

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