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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 2018-05-16
SC RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2018-05-16
  • SC RA
    APPROVED
    Since 2008-01-01

Branch Locations

400 Merchant St, Hilton Head Island, SC 29926 • United States

Hilton Head Island, SC • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Hilton Head Island SC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Hilton Head Island SC 11/2016 Present
Previous Registrations
  • 1999-10-15 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Hilton Head Island, SC
    Hilton Head Island, SC
    St. Louis, MO
Other Businesses

BAKALA FOUNDATION USA; NOT INVESTMENT RELATED; GREENVILLE,SC; BOARD OF DIRECTORS; START DATE 04/29/2019; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOURS DURING TRADING 0; ATTENDING MEETINGS TO DISCUSS AND REVIEW CHARITABLE GRANTS FROM THE FOUNDATION.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-30
S63 Uniform Securities Agent State Law Examination 1989-12-21
  • S65 Uniform Investment Adviser Law Examination
    1995-05-30
  • S63 Uniform Securities Agent State Law Examination
    1989-12-21
Other Names
  • John Rankin Wigington
  • John Wigington

View on SEC IAPD

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