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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 2011-04-14
NC RA APPROVED 2002-06-21
  • TX RA
    APPROVED_RES
    Since 2011-04-14
  • NC RA
    APPROVED
    Since 2002-06-21

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
Previous Registrations
  • 2002-01-28 → 2002-06-21
    Wachovia Securities, Inc.
    Charlotte, NC
Other Businesses

FLAT MOUNTAIN PROPERTY OWNER'S ASSOCIATION; NOT INV RELATED; LENOIR, NC; PRESIDENT; 11/2024; 1 HOUR PER MONTH; ZERO HOURS DURING TRADING; MAINTAIN THE PRIVATE GRAVEL ROAD ON PROPERTY

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-11-07
S63 Uniform Securities Agent State Law Examination 1987-04-02
  • S65 Uniform Investment Adviser Law Examination
    1991-11-07
  • S63 Uniform Securities Agent State Law Examination
    1987-04-02

View on SEC IAPD

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