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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 2011-01-03
  • TX RA
    APPROVED
    Since 2011-01-03

Branch Locations

710 E Main St, League City, TX 77573 • United States

2905 S Shore Blvd, League City, TX 77573 • United States

2929 Nasa Pkwy, Seabrook, TX 77586 • United States

1681 W Fm 646, League City, TX 77573 • United States

1000 Louisiana St 7Th Fl [Tn/Td-Rbo], Houston, TX 77002 • United States

Clear Lake Shores, TX • United States

Disclosures

3 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc League City TX 01/2011 11/2016
Wells Fargo Clearing Services, Llc League City TX 11/2016 Present
Previous Registrations
  • 2005-09-19 → 2011-01-03
    Wells Fargo Investments, Llc
    Seabrook, TX
    Houston, TX
    Webster, TX
    Houston, TX
    Pearland, TX
    Friendswood, TX
    Houston, TX
    Houston, TX
    Pearland, TX
    Pearland, TX
    Houston, TX
    Houston, TX
    League City, TX
    League City, TX
    League City, TX
  • 2004-05-13 → 2005-09-01
    Bbva Compass Investment Solutions, Inc
    Lake Jackson, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-06-06
  • S63 Uniform Securities Agent State Law Examination
    1986-06-06

View on SEC IAPD

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