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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 2015-01-20
NC RA APPROVED 2007-08-16
  • TX RA
    APPROVED_RES
    Since 2015-01-20
  • NC RA
    APPROVED
    Since 2007-08-16

Branch Locations

113 S Water St 2Nd Fl, Elizabeth City, NC 27909 • United States

Camden, NC • 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 Elizabeth City NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Elizabeth City NC 11/2016 Present
Previous Registrations
  • 2006-12-20 → 2007-07-16
    Chase Investment Services Corp.
    Lake Charles, LA
    Sulphur, LA
    Sulphur, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-12-18
  • S66 Uniform Combined State Law Examination
    2006-12-18
Other Names
  • Michelle Lynn Comier
  • Michelle Lynn Cormier

View on SEC IAPD

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