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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
IL RA APPROVED 2018-03-29
TX RA APPROVED_RES 2017-11-15
MO RA APPROVED 2010-03-04
  • IL RA
    APPROVED
    Since 2018-03-29
  • TX RA
    APPROVED_RES
    Since 2017-11-15
  • MO RA
    APPROVED
    Since 2010-03-04

Branch Locations

190 Carondelet Plz Ste 800, Clayton, MO 63105 • 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
Wells Fargo Advisors Llc St. Louis MO 03/2010 11/2016
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2010-03-08
    Chesterfield, MO
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Chesterfield, MO
  • 2001-09-27 → 2007-04-02
    Morgan Stanley Dw Inc.
    St. Louis, MO
    Chesterfield, MO
    St. Louis, MO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-07-15
S63 Uniform Securities Agent State Law Examination 1986-02-15
  • S65 Uniform Investment Adviser Law Examination
    1992-07-15
  • S63 Uniform Securities Agent State Law Examination
    1986-02-15

View on SEC IAPD

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