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Detailed Report
JOSHUA FRANK CLAY
CRD#: 5066615
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 333 S MCDOWELL BLVD
STE B
PETALUMA, CA 94954
Registration History
2014201520162017201820192020202120222023202420252026IAWELLS FARGO ADVISORS (CRD# 19616)2021 - Present (4 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2014 - Present (10 years)
License(s)

State Registrations

B
California 11/4/2014
B
Indiana 6/13/2024
IA
California 4/15/2021
B
Nevada 2/24/2025
B
Colorado 3/21/2025
B
New Jersey 11/28/2023
B
Florida 10/26/2023
B
Washington 3/20/2024
B
Hawaii 12/5/2023

SRO Registrations

B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
333 S MCDOWELL BLVD STE B, PETALUMA, CA 94954
999 VINE ST, HEALDSBURG, CA 95448
Registered with this firm since 4/15/2021
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
333 S MCDOWELL BLVD STE B, PETALUMA, CA 94954
999 VINE ST, HEALDSBURG, CA 95448
Registered with this firm since 10/29/2014
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.