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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
NJ RA APPROVED 2012-01-30
  • NJ RA
    APPROVED
    Since 2012-01-30

Branch Locations

500 Broadway, Bayonne, NJ 07002 • United States

51 John F Kennedy Pkwy 5Th Fl [J1/J2/J5-Rbo], Short Hills, NJ 07078 • 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 Yes
  • 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 Summit NJ 11/2009 11/2016
Wells Fargo Clearing Services, Llc Summit NJ 11/2016 Present
Previous Registrations
  • 2009-11-04 → 2012-01-26
    Short Hills, NJ
  • 2009-07-30 → 2009-11-02
    World Investments, Llc
    Lincroft, NJ
  • 2006-04-04 → 2007-08-17
    Td Wealth Management Services Inc.
    Philadelphia, PA
    New York, NY
    New York, NY
  • 2005-05-09 → 2006-03-31
    Chase Investment Services Corp.
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2004-10-20 → 2005-03-14
    Banc Of America Investment Services, Inc.
    Princeton, NJ
  • 2002-09-17 → 2004-10-20
    Quick & Reilly, Inc.
    Princeton, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-08
S63 Uniform Securities Agent State Law Examination 1986-04-16
  • S65 Uniform Investment Adviser Law Examination
    2002-07-08
  • S63 Uniform Securities Agent State Law Examination
    1986-04-16

View on SEC IAPD

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