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Stephen Walter Brooks

Wells Fargo Clearing Services, LLC

Tampa, FL

Tampa, FL

CRD 1988905

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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 2011-03-08
FL RA APPROVED 2011-02-22
  • TX RA
    APPROVED_RES
    Since 2011-03-08
  • FL RA
    APPROVED
    Since 2011-02-22

Branch Locations

4030 W Boy Scout Blvd Ste 150, Tampa, FL 33607 • United States

Tampa, FL • 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 Tampa FL 02/2011 11/2016
Wells Fargo Clearing Services, Llc Tampa FL 11/2016 Present
Previous Registrations
Other Businesses

PERSEVERANDO LLC, INVESTMENT RELATED; TAMPA, FL; 100% OWNERSHIP; 01/2024; 4 HOURS A MONTH; NO HOURS DURING TRADING HOURS; BOAT CHARTER CAPTAIN

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-10-28
S65 Uniform Investment Adviser Law Examination 1999-10-28
  • S63 Uniform Securities Agent State Law Examination
    1999-10-28
  • S65 Uniform Investment Adviser Law Examination
    1999-10-28
Designations
  • Certified Financial Planner
Other Names
  • Stephen W Brooks

View on SEC IAPD

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