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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 2025-12-15
NY RA APPROVED 2025-12-12
  • TX RA
    APPROVED_RES
    Since 2025-12-15
  • NY RA
    APPROVED
    Since 2025-12-12

Branch Locations

1211 Ave Of The Americas 27Th Fl, New York, NY 10036 • 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
Oppenheimer & Co. Inc. New York NY 01/2002 12/2025
Wells Fargo Clearing Services, Llc New York NY 12/2025 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-13
S63 Uniform Securities Agent State Law Examination 1985-10-17
  • S65 Uniform Investment Adviser Law Examination
    1998-01-13
  • S63 Uniform Securities Agent State Law Examination
    1985-10-17

View on SEC IAPD

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