Samantha Kate Dozier

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
TX	RA	APPROVED_RES	2026-08-17
CO	RA	APPROVED	2024-12-04

TX RA
APPROVED_RES

Since 2026-08-17
CO RA
APPROVED

Since 2024-12-04

Branch Locations

2033 N Main St Ste 800, Walnut Creek, CA 94596 • United States

420 Montgomery St 8Th Fl [Support Center], San Francisco, CA 94104 • 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 No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Clearing Services, Llc	Boulder	CO	02/2024	Present
Wells Fargo Bank, Na	Boulder	CO	07/2018	Present
Benchmark Mortgage	Greenville	SC	09/2015	07/2018

02/2024 → Present

Wells Fargo Clearing Services, Llc

Boulder, CO
07/2018 → Present

Wells Fargo Bank, Na

Boulder, CO
09/2015 → 07/2018

Benchmark Mortgage

Greenville, SC

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-12-03
S63	Uniform Securities Agent State Law Examination	2024-04-11

S66 Uniform Combined State Law Examination

2024-12-03
S63 Uniform Securities Agent State Law Examination

2024-04-11

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Exams

Other Firms

Other Investors

Other Offices

Reviews