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Alicia Marie Whearty

Wells Fargo Clearing Services, LLC

Westport, CT

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Current Employers
Wells Fargo Clearing Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2009-04-27
  • CT RA
    APPROVED
    Since 2009-04-27

Branch Locations

450 Post Rd E [Support Center], Westport, CT 06880 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Westport CT 05/2009 11/2016
Wells Fargo Clearing Services, Llc Westport CT 11/2016 Present
Other Businesses

POWER OF ATTORNEY FOR MOTHER; INV. RELATED; DANBY, CT; START DATE 1/2019; 2 HRS PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-11-21
S63 Uniform Securities Agent State Law Examination 1989-03-06
  • S65 Uniform Investment Adviser Law Examination
    2008-11-21
  • S63 Uniform Securities Agent State Law Examination
    1989-03-06
Other Names
  • Alicia Marie Caula
  • Alicia Maire Caula

View on SEC IAPD

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QUORUS INC. · WESTPORT, CT
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MORGAN STANLEY · Westport, CT
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LPL FINANCIAL LLC · WESTPORT, CT
LPL FINANCIAL LLC · WESTPORT, CT
SENECA WEALTH ADVISORS, LLC · WESTPORT, CT
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