Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wells Fargo Clearing Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Timothy Robert Altepeter | 2681369 | 1 | 08/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jasmine Magdalena Stone Lemus | 7635848 | 1 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Catherine Tate | 4185913 | 1 | 07/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pamela Peck | 5591706 | 7 | 07/28/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lucy Williams Thomas | 1685458 | 2 | 07/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lucy Williams Thomas | 1685458 | 2 | 07/24/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jin Sook An | 6805935 | 2 | 07/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Amy Long | 4012838 | 3 | 07/22/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Thomas Sumner | 6273103 | 1 | 07/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kayla Rene Burton | 6913840 | 1 | 07/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |