Best Investors Account Sign in

Doris A Utterback

Wells Fargo Clearing Services, LLC

Birmingham, AL

Claim This Profile
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

Other Firms

THRIVENT INVESTMENT MANAGEMENT INC.
PFS INVESTMENTS INC.
PMD ADVISORY
CETERA INVESTMENT ADVISERS LLC
NFSG CORPORATION
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
USA FINANCIAL SECURITIES LLC

Other Investors

THOMAS MICHAEL NOON
Susan Hunter Koski
Luke Banks
David Mathews
MARILYN ANN EDDINGS
JAMES IRA MCCORMICK
MELANIE SHIRLEY DICKINSON
BRENNA ROSE PRITCHETT

Other Offices

THRIVENT INVESTMENT MANAGEMENT INC. · BIRMINGHAM, AL
PFS INVESTMENTS INC. · HOOVER, AL
PMD ADVISORY · HOOVER, AL
CETERA INVESTMENT ADVISERS LLC · BIRMINGHAM, AL
CETERA INVESTMENT ADVISERS LLC · HOOVER, AL
NFSG CORPORATION · HOOVER, AL
STATE FARM INVESTMENT MANAGEMENT CORP. · Hoover, AL
PFS INVESTMENTS INC. · HOOVER, AL

More in Birmingham, AL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor