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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 2018-10-15
  • FL RA
    APPROVED
    Since 2018-10-15

Branch Locations

1540 Cornerstone Blvd Stes 110 & 210, Daytona Beach, FL 32117 • 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
Ameriprise Financial Services, Inc. Minneapolis MN 10/2009 10/2018
Wells Fargo Clearing Services, Llc Daytona Beach FL 10/2018 Present
Previous Registrations
  • 2009-10-05 → 2018-10-12
    Minneapolis, MN
    Daytona Beach, FL
  • 2009-02-18 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Daytona Beach, FL
  • 2002-12-04 → 2008-05-21
    Daytona Beach, FL
    Daytona Beach, FL
  • 1997-01-03 → 2002-11-13
    Prudential Equity Group, Llc
    Daytona Beach, FL
Other Businesses

RENTAL PROPERTY, INV RELATED, PALM COAST, FL, 100% OWNERSHIP WITH SPOUSE, START 1/20/2008, 1 HOUR PER MONTH, ZERO DURING TRADING, LANDLORD. FLAGLER COUNTY HOUSING AUTHORITY; NOT INV. RELATED; BUNNELL, FL; BOARD OF DIECTORS; MANAGE LOW INCOME HOUSING AND SECTION 8 VOUCHERS; START DATE 10/2018; 2 HRS PER MONTH; 0 HRS DURING TRADING; DUTIES ATTEND MONTHLY MEETINGS TO DICUSS HOW THE BOARD CAN MEET THE NEEDS OF THE RESIDENTS AND HOW TO IMPROVE THE FACILITIES, MANAGING THE SECTION 8 PROGRAM. RENTAL PROPERTY; INV. RELATED; PALM COAST,FL; 100% OWNERSHIP; START DATE 05/01/2021; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; OWNER. TOMIKA ADVISORY COUNCIL, INVT RELATED, DEBARY, FL, TREASURER, START DATE 11/1/2023, 4 HRS PER MONTH, 0 HRS DURING TRADING, ATTENDING MEETINGS, SUPPLYING INFORMATION ON HOW MUCH WE HAVE COLLECTED AND WHAT CURRENT BALANCE IS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-17
S63 Uniform Securities Agent State Law Examination 1988-06-28
  • S65 Uniform Investment Adviser Law Examination
    1994-01-17
  • S63 Uniform Securities Agent State Law Examination
    1988-06-28
Designations

View on SEC IAPD

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