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Terrence J Duffy

Wells Fargo Clearing Services, LLC

Greenwich, CT

CRD 1926918

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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
CT RA APPROVED 2022-08-30
NY RA APPROVED 2021-07-27
TX RA APPROVED_RES 2017-02-10
VT RA APPROVED 2016-12-27
  • CT RA
    APPROVED
    Since 2022-08-30
  • NY RA
    APPROVED
    Since 2021-07-27
  • TX RA
    APPROVED_RES
    Since 2017-02-10
  • VT RA
    APPROVED
    Since 2016-12-27

Branch Locations

1 Lafayette Pl [Vh-Rbo], Greenwich, CT 06830 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated White Plains NY 07/2013 12/2016
Bank Of America, N.A. White Plains NY 10/2013 12/2016
Wells Fargo Clearing Services, Llc New York NY 12/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-08-28
S63 Uniform Securities Agent State Law Examination 1990-04-11
  • S66 Uniform Combined State Law Examination
    2013-08-28
  • S63 Uniform Securities Agent State Law Examination
    1990-04-11
Other Names
  • Terry Duffy
  • Terry Duffy
  • Terrence James Duffy
  • Terrence James Duffy

View on SEC IAPD

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