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Stephen Francis Jeffers

Wells Fargo Clearing Services, LLC

New York, NY

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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
NY RA APPROVED 2021-07-27
NJ RA APPROVED 2017-05-23
TX RA APPROVED_RES 2017-02-22
  • NY RA
    APPROVED
    Since 2021-07-27
  • NJ RA
    APPROVED
    Since 2017-05-23
  • TX RA
    APPROVED_RES
    Since 2017-02-22

Branch Locations

1 Penn Plz Fl 27, New York, NY 10119 • 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
Ubs Financial Services Inc New York NY 09/2006 02/2017
Wells Fargo Advisors Llc New York NY 02/2017 Present
Previous Registrations
Other Businesses

TRUSTEE FOR NEPHEW, INV RELATED, CHATHAM, NJ, START 3/18/2005, LESS THAN 1 HR/MONTH, 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-10
S63 Uniform Securities Agent State Law Examination 1993-12-10
  • S65 Uniform Investment Adviser Law Examination
    1994-01-10
  • S63 Uniform Securities Agent State Law Examination
    1993-12-10
Other Names
  • Stephen F Jeffers

View on SEC IAPD

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