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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
CA RA APPROVED 2012-01-10
  • CA RA
    APPROVED
    Since 2012-01-10

Branch Locations

2141 Rosecrans Ave Ste 4100, El Segundo, CA 90245 • United States

Hawthorne, CA • 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 El Segundo CA 01/2012 11/2016
Wells Fargo Clearing Services, Llc El Segundo CA 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2012-01-13
    El Segundo, CA
  • 2002-04-30 → 2009-06-01
    El Segundo, CA
    El Segundo, CA
  • 1997-07-08 → 2002-05-03
    Prudential Equity Group, Llc
    Beverly Hills, CA
Other Businesses

TRUSTEE FOR COUSIN'S TRUST, INV RELATED, MADISON, NJ, START: 10/01/2019, 5 HRS/MONTH, LESS THAN 1 HR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-02-08
S63 Uniform Securities Agent State Law Examination 1985-11-23
  • S65 Uniform Investment Adviser Law Examination
    1993-02-08
  • S63 Uniform Securities Agent State Law Examination
    1985-11-23

View on SEC IAPD

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