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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 2013-06-10
IL RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2013-06-10
  • IL RA
    APPROVED
    Since 2008-01-01

Branch Locations

2941 Greenbriar, Springfield, IL 62704 • 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 Springfield IL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Springfield IL 11/2016 Present
Previous Registrations
  • 2005-08-22 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Springfield, IL
    Springfield, IL
    St. Louis, MO
Other Businesses

GUARDIAN FOR SON, INV RELATED, SPRINGFIELD, IL, START: 1/6/2011, 1 HOUR PER MONTH/0 DURING TRADING, DUTIES: MONITOR AND AID. RENTAL FARMLAND; INV RELATED; BROWNING, IL; START 1/1/2016; 0 HOURS PER MONTH, 0 DURING TRADING; LAND OWNER. TRUSTEE FOR FATHER; INV RELATED; SPRINGFIELD, IL; START: 9/5/17; 1 HR/MO; 0 DURING TRADING.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-09-02
  • S63 Uniform Securities Agent State Law Examination
    1987-09-02
Other Names
  • Tony Guzzardo

View on SEC IAPD

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