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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
FL RA APPROVED 2008-11-25
TX RA APPROVED 2008-10-31
  • FL RA
    APPROVED
    Since 2008-11-25
  • TX RA
    APPROVED
    Since 2008-10-31

Branch Locations

3545 Ocean Dr, Vero Beach, FL 32963 • 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Vero Beach FL 05/2009 11/2016
Wells Fargo Clearing Services, Llc Vero Beach FL 11/2016 Present
Previous Registrations
  • 2007-04-02 → 2008-11-04
    Morgan Stanley & Co. Llc
    Vero Beach, FL
  • 1991-01-01 → 2007-04-02
    Morgan Stanley Dw Inc.
    Vero Beach, FL
    Vero Beach, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-30
S63 Uniform Securities Agent State Law Examination 1987-08-31
  • S66 Uniform Combined State Law Examination
    2005-11-30
  • S63 Uniform Securities Agent State Law Examination
    1987-08-31

View on SEC IAPD

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