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Christopher John Carbone

Wells Fargo Clearing Services, LLC

Clinton, NY

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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
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2014-07-31
TX RA APPROVED_RES 2014-07-02
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2014-07-31
  • TX RA
    APPROVED_RES
    Since 2014-07-02

Branch Locations

178 Woods Park Dr, Clinton, NY 13323 • 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 New Hartford NY 06/2014 11/2016
Wells Fargo Clearing Services, Llc New Hartford NY 11/2016 Present
Previous Registrations
Other Businesses

CO-EXECUTOR FOR MOTHER, INV RELATED, BARNEVELD, NY, START: 4/13/2020, 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-08-22
S63 Uniform Securities Agent State Law Examination 1986-11-03
  • S65 Uniform Investment Adviser Law Examination
    1995-08-22
  • S63 Uniform Securities Agent State Law Examination
    1986-11-03
Designations

View on SEC IAPD

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