Noelia Herrera Resigns from Her Position at Wells Fargo Clearing Services
Noelia Herrera (CRD #: 6887173), a formerly registered broker, recently resigned from her position at Wells Fargo Clearing Services, according to her BrokerCheck record, accessed on February 2, 2022. Details surrounding her resignation have been provided below.
On October 13, 2021, Noelia Herrera voluntarily resigned from her position at Wells Fargo Clearing Services following allegations that she told a client he could sign letters of authorization for family members who were co-owners on the at-issue account.
Investors should know that FINRA Rule 2010 requires associated persons to observe high standards of commercial honor and just and equitable principles of trade.
Noelia Herrera has passed the following exams:
- Series 66 - Uniform Combined State Law Examination
- Series 7TO - General Securities Representative Examination
- SIE - Securities Industry Essentials Examination
Besides Wells Fargo Clearing Services, Noelia Herrera has not worked with any other firm.
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