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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 2016-08-22
CA RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2016-08-22
  • CA RA
    APPROVED
    Since 2008-01-01

Branch Locations

600 W Broadway Ste 1450 One America Plaza, San Diego, CA 92101 • United States

Coronado, 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 Llc San Diego CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc San Diego CA 11/2016 Present
Previous Registrations
  • 1997-07-08 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    San Diego, CA
    San Diego, CA
    San Diego, CA
    St. Louis, MO
Other Businesses

RENTAL PROPERTY; INV-RELATED; IMPERIAL BEACH, CA; 100% OWNERSHIP WITH SPOUSE; START: 05/01/2014; HOURS: 0 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-07
S63 Uniform Securities Agent State Law Examination 1988-09-20
  • S65 Uniform Investment Adviser Law Examination
    1992-07-07
  • S63 Uniform Securities Agent State Law Examination
    1988-09-20
Other Names
  • Victoria Shaw

View on SEC IAPD

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