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Doris A Utterback

Wells Fargo Clearing Services, LLC

Birmingham, AL

CRD 2001078

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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 2025-05-01
AL RA APPROVED 2025-04-21
  • TX RA
    APPROVED
    Since 2025-05-01
  • AL RA
    APPROVED
    Since 2025-04-21

Branch Locations

2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • 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 Birmingham AL 08/2008 06/2023
Raymond James & Associates Tuscaloosa AL 09/2023 04/2025
Wells Fargo Clearing Services, Llc Birmingham AL 04/2025 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-05-18
S63 Uniform Securities Agent State Law Examination 1990-03-09
  • S66 Uniform Combined State Law Examination
    2009-05-18
  • S63 Uniform Securities Agent State Law Examination
    1990-03-09
Other Names
  • Doris A Arnold
  • Doris Ann Arnold
  • Doris Ann Utterback
  • Doris Ann Arnold
  • Doris Arnold Utterback

View on SEC IAPD

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