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Duane Keith Edwards

Wells Fargo Clearing Services, LLC

High Point, NC

Pinehurst, NC

CRD 4313965

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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
NC RA APPROVED 2008-01-01
  • NC RA
    APPROVED
    Since 2008-01-01

Branch Locations

1725 N Main St, High Point, NC 27262 • United States

100 Turnberry Way, Pinehurst, NC 28374 • 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 Greensboro NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Greensboro NC 11/2016 Present
Previous Registrations
  • 2004-04-22 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    High Point, NC
    High Point, NC
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-04-21
S63 Uniform Securities Agent State Law Examination 2001-02-09
  • S66 Uniform Combined State Law Examination
    2004-04-21
  • S63 Uniform Securities Agent State Law Examination
    2001-02-09
Designations
  • Certified Financial Planner

View on SEC IAPD

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