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Scott E Carswell

Wells Fargo Clearing Services, LLC

Chattanooga, TN

CRD 4421505

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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
GA RA APPROVED 2024-06-20
TN RA APPROVED 2020-02-18
TX RA APPROVED_RES 2020-02-18
  • GA RA
    APPROVED
    Since 2024-06-20
  • TN RA
    APPROVED
    Since 2020-02-18
  • TX RA
    APPROVED_RES
    Since 2020-02-18

Branch Locations

412 Georgia Ave Ste 215, Chattanooga, TN 37403 • 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
Edward Jones St. Louis MO 12/2012 02/2020
Wells Fargo Clearing Services, Llc. Chattanooga TN 02/2020 Present
Previous Registrations
  • 2013-02-26 → 2020-02-17
    Edward Jones
    St Louis, MO
    Cleveland, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-02-22
S63 Uniform Securities Agent State Law Examination 2001-10-04
  • S66 Uniform Combined State Law Examination
    2013-02-22
  • S63 Uniform Securities Agent State Law Examination
    2001-10-04
Other Names
  • Scott Erwin Carswell

View on SEC IAPD

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