James Patrick King

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2003-07-01

IL RA
APPROVED

Since 2003-07-01

Branch Locations

30 S Wacker Dr 39Th & 40Th Fls, Chicago, IL 60606 • United States

Western Springs, IL • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Chicago	IL	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Chicago	IL	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Chicago, IL
11/2016 → Present

Wells Fargo Clearing Services, Llc

Chicago, IL

Previous Registrations

2002-10-25 → 2003-07-01

Prudential Equity Group, Llc

Chicago, IL

Other Businesses

KILLERAN GROUP; NOT INVESTMENT RELATED; BROOKFIELD, IL; ASSISTING IN FAMILY RENTAL BUSINESS; START DATE 01/2016 / 6 HOURS PER MONTH / 0 DURING TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-10-16
S63	Uniform Securities Agent State Law Examination	1988-12-01

S65 Uniform Investment Adviser Law Examination

2002-10-16
S63 Uniform Securities Agent State Law Examination

1988-12-01

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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