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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 2017-01-23
MN RA APPROVED 2013-11-04
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2017-01-23
  • MN RA
    APPROVED
    Since 2013-11-04
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

400 1St St S 2Nd Fl, Saint Cloud, MN 56301 • United States

950 Wayzata Blvd Ste 200 [Gp-Rbo], Wayzata, MN 55391 • United States

Disclosures

1 disclosure category 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Saint Cloud MN 01/2011 11/2016
Wells Fargo Clearing Services, Llc Saint Cloud MN 11/2016 Present
Previous Registrations
  • 2004-11-04 → 2011-01-03
    Wells Fargo Investments, Llc
    Saint Cloud, MN
    St. Cloud, MN
    Saint Cloud, MN
    Saint Cloud, MN
Other Businesses

POWER OF ATTORNEY FOR GRANDMA; INV. RELATED; MINNESOTA; START DATE 6/2015; 30 HRS PER MONTH; 1 HR DURING TRADING. POWER OF ATTORNEY FOR GRANDPA; INV. RELATED; MINNESOTA; START DATE 6/2015; 30 HRS PER MONTH; 1 HR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-07-13
S63 Uniform Securities Agent State Law Examination 1987-10-21
  • S65 Uniform Investment Adviser Law Examination
    2001-07-13
  • S63 Uniform Securities Agent State Law Examination
    1987-10-21

View on SEC IAPD

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