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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
NJ RA APPROVED 2026-05-13
FL RA APPROVED 2019-01-29
PA RA APPROVED 2004-01-21
  • NJ RA
    APPROVED
    Since 2026-05-13
  • FL RA
    APPROVED
    Since 2019-01-29
  • PA RA
    APPROVED
    Since 2004-01-21

Branch Locations

955 Chesterbrook Blvd 3Rd Fl [L1-Rbo], Wayne, PA 19087 • United States

Key West, FL • 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 Philadelphia PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Philadelphia PA 11/2016 Present
Other Businesses

KEY WEST ROX, LLC, INVT RELATED, KEY WEST, FL, 100% OWNERSHIP, START DATE 1/1/2021, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-17
S63 Uniform Securities Agent State Law Examination 1992-12-04
  • S65 Uniform Investment Adviser Law Examination
    2000-03-17
  • S63 Uniform Securities Agent State Law Examination
    1992-12-04

View on SEC IAPD

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