James Robert Lauer

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-07-13
CO	RA	APPROVED	2011-01-03

TX RA
APPROVED_RES

Since 2026-07-13
CO RA
APPROVED

Since 2011-01-03

Branch Locations

1700 Lincoln St 10Th & 11Th Fls, Denver, CO 80203 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Denver	CO	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Denver	CO	11/2016	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Denver, CO
11/2016 → Present

Wells Fargo Clearing Services, Llc

Denver, CO

Previous Registrations

1999-01-01 → 2011-01-03

Wells Fargo Investments, Llc

Denver, CO

Denver, CO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-11-24
S63	Uniform Securities Agent State Law Examination	1993-08-16

S65 Uniform Investment Adviser Law Examination

1999-11-24
S63 Uniform Securities Agent State Law Examination

1993-08-16

Other Names

Jim Lauer
James Robert Laver
Jim Laver

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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