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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_RES 2013-01-03
MT RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2013-01-03
  • MT RA
    APPROVED
    Since 2011-01-03

Branch Locations

175 N 27Th St 1St & 5Th Fls, Billings, MT 59101 • United States

101 S Capitol Blvd Ste 1210 [Wj/Wb/Wl/Ws-Rbo], Boise, ID 83702 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Billings MT 01/2011 11/2016
Wells Fargo Clearing Services, Llc Billings MT 11/2016 Present
Previous Registrations
  • 2005-04-28 → 2011-01-03
    Wells Fargo Investments, Llc
    Billings, MT
    Roundup, MT
    Billings, MT
    Sidney, MT
    Billings, MT
    Billings, MT
    Billings, MT
    Billings, MT
    Butte, MT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-26
S63 Uniform Securities Agent State Law Examination 1999-02-24
  • S65 Uniform Investment Adviser Law Examination
    1999-05-26
  • S63 Uniform Securities Agent State Law Examination
    1999-02-24

View on SEC IAPD

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