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Paul Lawrence Sercer

Wells Fargo Clearing Services, LLC

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
TX RA APPROVED 2015-01-06
NC RA APPROVED 2006-08-07
  • TX RA
    APPROVED
    Since 2015-01-06
  • NC RA
    APPROVED
    Since 2006-08-07

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
Other Businesses

RENTAL PROPERTY, INV RELATED, CHARLOTTE, NC, 100% OWNERSHIP WITH SPOUSE, START 5/15/2021, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-08-04
S65 Uniform Investment Adviser Law Examination 2000-07-06
S63 Uniform Securities Agent State Law Examination 1999-06-11
  • S66 Uniform Combined State Law Examination
    2006-08-04
  • S65 Uniform Investment Adviser Law Examination
    2000-07-06
  • S63 Uniform Securities Agent State Law Examination
    1999-06-11

View on SEC IAPD

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