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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
FL RA APPROVED 2020-12-16
CT RA APPROVED 2016-11-08
  • FL RA
    APPROVED
    Since 2020-12-16
  • CT RA
    APPROVED
    Since 2016-11-08

Branch Locations

100 Front St Ste 1900, Worcester, MA 01608 • United States

Palm Beach Gardens, FL • United States

2989 Pga Blvd Ste 200, Palm Beach Gardens, FL 33410 • 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 Worcester MA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Worcester MA 11/2016 Present
Other Businesses

TRUSTEE FOR FATHER, INV RELATED, WORCESTER, MA, START: 11/2013, 1 HOUR PER MONTH/0 DURING TRADING. TRUSTEE FOR COUSIN; INV RELATED; BOCA RATON, FL; START: 1/11/2007; 1 HR/MO; LESS THAN 1 HR/YEAR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-08
S63 Uniform Securities Agent State Law Examination 1999-05-21
  • S65 Uniform Investment Adviser Law Examination
    2016-11-08
  • S63 Uniform Securities Agent State Law Examination
    1999-05-21

View on SEC IAPD

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