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Sandra Kay Chase

Wells Fargo Clearing Services, LLC

Onalaska, WI

Minneapolis, MN

CRD 4291950

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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
WI RA APPROVED 2022-04-01
  • WI RA
    APPROVED
    Since 2022-04-01

Branch Locations

591 Theater Rd, Onalaska, WI 54650 • United States

90 S 7Th St 10Th & 11Th Fls [Gj-Rbo], Minneapolis, MN 55402 • 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 Clearing Services, Llc Onalaska WI 11/2021 Present
Wells Fargo Bank, Na Onalaska WI 02/2021 Present
Citizens State Bank La Crosse WI 09/2020 02/2021
Associated Bank La Crosse WI 05/2010 09/2020
  • 11/2021 → Present
    Wells Fargo Clearing Services, Llc
    Onalaska, WI
  • 02/2021 → Present
    Wells Fargo Bank, Na
    Onalaska, WI
  • 09/2020 → 02/2021
    Citizens State Bank
    La Crosse, WI
  • 05/2010 → 09/2020
    Associated Bank
    La Crosse, WI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-04-01
S63 Uniform Securities Agent State Law Examination 2001-03-02
  • S66 Uniform Combined State Law Examination
    2022-04-01
  • S63 Uniform Securities Agent State Law Examination
    2001-03-02
Other Names
  • Sandra K Chase

View on SEC IAPD

Nearby Firms

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MERCER GLOBAL ADVISORS INC.
THRIVENT INVESTMENT MANAGEMENT INC.

Nearby Investors

CLIFFORD RAY WARDEN
Joel Phillip Dettwiler
Joseph Michael Lewis

Nearby Offices

CETERA INVESTMENT ADVISERS LLC · ONALASKA, WI
MERCER GLOBAL ADVISORS INC. · ONALASKA, WI
THRIVENT INVESTMENT MANAGEMENT INC. · Onalaska, WI

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