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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

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
TX RA APPROVED_RES 2024-01-26
VA RA APPROVED 2014-08-28
  • TX RA
    APPROVED_RES
    Since 2024-01-26
  • VA RA
    APPROVED
    Since 2014-08-28

Branch Locations

7030 Old Keene Mill Rd, Springfield, VA 22150 • United States

6305 Richmond Hwy Ste A, Alexandria, VA 22306 • United States

7706 Richmond Hwy, Alexandria, VA 22306 • United States

1753 Pinnacle Dr 3Rd Fl [V6-Rbo], Mclean, VA 22102 • United States

6110 Franconia Rd, Alexandria, VA 22310 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Mclean VA 08/2014 11/2016
Wells Fargo Clearing Services, Llc Mclean VA 11/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-06
  • S66 Uniform Combined State Law Examination
    2010-08-06
Other Names
  • Brad R Courtney
  • Brad R Courtney

View on SEC IAPD

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