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Kim L E Shearer

Wells Fargo Clearing Services, LLC

Corte Madera, CA

Radnor, PA

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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
PA RA APPROVED 2022-06-16
CA RA APPROVED 2016-09-16
TX RA APPROVED 2016-09-16
  • PA RA
    APPROVED
    Since 2022-06-16
  • CA RA
    APPROVED
    Since 2016-09-16
  • TX RA
    APPROVED
    Since 2016-09-16

Branch Locations

770 Tamalpais Dr Ste 400, Corte Madera, CA 94925 • United States

150 N Radnor-Chester Rd Ste A100, Radnor, PA 19087 • 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
Morgan Stanley Smith Barney Indianapolis IN 06/2009 09/2016
Wells Fargo Advisors, Llc San Rafael CA 09/2016 11/2016
Wells Fargo Clearing Services, Llc San Rafael CA 11/2016 Present
  • 06/2009 → 09/2016
    Morgan Stanley Smith Barney
    Indianapolis, IN
  • 09/2016 → 11/2016
    Wells Fargo Advisors, Llc
    San Rafael, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    San Rafael, CA
Previous Registrations
  • 2014-12-04 → 2016-09-30
    Morgan Stanley
    San Rafael, CA
    Indianapolis, IN
    Indianapolis, IN
    San Rafael, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-12-04
S63 Uniform Securities Agent State Law Examination 2000-11-16
  • S65 Uniform Investment Adviser Law Examination
    2014-12-04
  • S63 Uniform Securities Agent State Law Examination
    2000-11-16
Other Names
  • Kim L Shearer
  • Kim Lien-Elizabeth Shearer

View on SEC IAPD

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Other Offices

COHEN CAPITAL MANAGEMENT INC · CORTE MADERA, CA
AVILA REAL ESTATE CAPITAL · CORTE MADERA, CA
WELLS FARGO CLEARING SERVICES, LLC · CORTE MADERA, CA
WELLS FARGO CLEARING SERVICES, LLC · CORTE MADERA, CA
J.P. MORGAN SECURITIES LLC · CORTE MADERA, CA
PATHBREAKER VENTURES II, LLC · CORTE MADERA, CA
PATHBREAKER VENTURES III, LLC · CORTE MADERA, CA
PATHBREAKER VENTURES, LLC · CORTE MADERA, CA

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