Chad Anthony Falkenstein

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
WI	RA	APPROVED	2009-10-28

WI RA
APPROVED

Since 2009-10-28

Branch Locations

111 E Kilbourn Ave Ste 2400 [Mq-Rbo], Milwaukee, WI 53202 • United States

W180N9440 Premier Ln, Menomonee Falls, WI 53051 • United States

16001 W Cleveland Ave, New Berlin, WI 53151 • United States

1463 Capitol Dr Ste C, Pewaukee, WI 53072 • United States

11350 N Port Washington Rd, Mequon, WI 53092 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Menomonee Falls	WI	10/2009	11/2016
Wells Fargo Clearing Services, Llc	Menomonee Falls	WI	11/2016	Present

10/2009 → 11/2016

Wells Fargo Advisors Llc

Menomonee Falls, WI
11/2016 → Present

Wells Fargo Clearing Services, Llc

Menomonee Falls, WI

Previous Registrations

2005-04-29 → 2009-10-30

Allspring Funds Management, Llc

Menomonee Falls, WI

Other Businesses

CHICAGO TOY SHOW; NON INV RELATED; CHICAGO, IL; VINTAGE COLLECTIBLE TOYS; HOBBY/TRADE SHOW; START: 10/22/17; 16 HRS/YR; 0 DURING TRADING; DUTIES: BUY/SELL/TRADE VINTAGE COLLECTIBLE TOYS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-04-28
S63	Uniform Securities Agent State Law Examination	1999-07-22

S65 Uniform Investment Adviser Law Examination

2005-04-28
S63 Uniform Securities Agent State Law Examination

1999-07-22

View on SEC IAPD

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

Reviews