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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 2023-06-02
FL RA APPROVED 2003-03-10
  • TX RA
    APPROVED_RES
    Since 2023-06-02
  • FL RA
    APPROVED
    Since 2003-03-10

Branch Locations

14147 Walsingham Rd, Largo, FL 33774 • United States

1819 Main St Ste 230 [A8-Rbo], Sarasota, FL 34236 • United States

7112 Us Hwy 301 N, Ellenton, FL 34222 • 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 Tampa FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Tampa FL 11/2016 Present
Previous Registrations
  • 1996-12-06 → 2003-02-21
    Prudential Equity Group, Llc
    St Petersburg, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-03-11
S63 Uniform Securities Agent State Law Examination 1987-04-01
  • S65 Uniform Investment Adviser Law Examination
    1996-03-11
  • S63 Uniform Securities Agent State Law Examination
    1987-04-01
Other Names
  • Mike Kuruzovich

View on SEC IAPD

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