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Hugh Breslin

Wells Fargo Clearing Services, LLC

Chicago, IL

Chicago, IL

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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 2020-10-07
TX RA APPROVED 2020-10-02
  • IL RA
    APPROVED
    Since 2020-10-07
  • TX RA
    APPROVED
    Since 2020-10-02

Branch Locations

30 S Wacker Dr 39Th & 40Th Fls, Chicago, IL 60606 • United States

Chicago, IL • 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
Ubs Financial Services Inc Chicago IL 01/2009 10/2020
Wells Fargo Clearing Services, Llc Chicago IL 10/2020 Present
Previous Registrations
  • 2009-01-30 → 2020-10-14
    Ubs Financial Services Inc.
    Chicago, IL
  • 2003-08-18 → 2009-02-04
    Banc Of America Investment Services, Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2001-01-31 → 2003-08-28
    Banc Of America Securities Llc
    Chicago, IL
Other Businesses

TRUSTEE FOR COUSIN, INV RELATED, CHICAGO, IL, START: 9/30/2022, 1 HRS/MONTH, 1 HR DURING TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-10-08
S65 Uniform Investment Adviser Law Examination 1996-08-15
  • S63 Uniform Securities Agent State Law Examination
    2003-10-08
  • S65 Uniform Investment Adviser Law Examination
    1996-08-15
Other Names
  • Hugh Francis Breslin
  • Hugh Breslin

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
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GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
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