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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 2011-01-07
CA RA APPROVED 2007-05-21
  • TX RA
    APPROVED_RES
    Since 2011-01-07
  • CA RA
    APPROVED
    Since 2007-05-21

Branch Locations

2400 E Katella Ave Ste 1000, Anaheim, CA 92806 • 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 Anaheim CA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Anaheim CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-03
S63 Uniform Securities Agent State Law Examination 1990-05-21
  • S66 Uniform Combined State Law Examination
    2008-06-03
  • S63 Uniform Securities Agent State Law Examination
    1990-05-21

View on SEC IAPD

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