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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
WA RA APPROVED 2017-05-18
TX RA APPROVED 2016-05-20
OR RA APPROVED 2016-05-12
  • WA RA
    APPROVED
    Since 2017-05-18
  • TX RA
    APPROVED
    Since 2016-05-20
  • OR RA
    APPROVED
    Since 2016-05-12

Branch Locations

700 Washington St 5Th Fl [Ox-Rbo], Vancouver, WA 98660 • 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 Portland OR 05/2016 11/2016
Wells Fargo Clearing Services, Llc Portland OR 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-13
S63 Uniform Securities Agent State Law Examination 2004-02-09
  • S66 Uniform Combined State Law Examination
    2007-01-13
  • S63 Uniform Securities Agent State Law Examination
    2004-02-09
Other Names
  • Sharon Kay Mine

View on SEC IAPD

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