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Charles Thomas Stone

Wells Fargo Clearing Services, LLC

Mission Viejo, CA

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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
CA RA APPROVED 2013-11-21
TX RA APPROVED 2013-11-21
  • CA RA
    APPROVED
    Since 2013-11-21
  • TX RA
    APPROVED
    Since 2013-11-21

Branch Locations

27201 Puerta Real Ste 220, Mission Viejo, CA 92691 • 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 Mission Viejo CA 11/2013 11/2016
Wells Fargo Clearing Services, Llc Mission Viejo CA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-11-03
S63 Uniform Securities Agent State Law Examination 1987-01-20
  • S65 Uniform Investment Adviser Law Examination
    1994-11-03
  • S63 Uniform Securities Agent State Law Examination
    1987-01-20
Other Names
  • Chuck Stone

View on SEC IAPD

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Other Offices

EDWARD JONES · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA
WELLS FARGO CLEARING SERVICES, LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
CETERA INVESTMENT ADVISERS LLC · MISSION VIEJO, CA
PFS INVESTMENTS INC. · MISSION VIEJO, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · MISSION VIEJO, CA
J.P. MORGAN SECURITIES LLC · MISSION VIEJO, CA

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