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Roby D Mize

Wells Fargo Clearing Services, LLC

Dallas, TX

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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 2016-03-10
  • TX RA
    APPROVED
    Since 2016-03-10

Branch Locations

8115 Preston Rd Ste 300 [Vb-Rbo], Dallas, TX 75225 • 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 Dallas TX 03/2016 11/2016
Wells Fargo Clearing Services, Llc Dallas TX 11/2016 Present
Previous Registrations
  • 2003-01-17 → 2016-04-01
    Credit Suisse Securities (Usa) Llc
    Dallas, TX
    Dallas, TX
  • 1993-09-15 → 2003-01-17
    Pershing Llc
    Dallas, TX
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-09-10
  • S63 Uniform Securities Agent State Law Examination
    1993-09-10
Other Names
  • Roby D Mize

View on SEC IAPD

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