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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-03-01 |
| CT | RA | APPROVED | 2006-04-25 |
Branch Locations
1 Lafayette Pl [Vh-Rbo], Greenwich, CT 06830 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Yonkers | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Yonkers | NY | 11/2016 | Present |
RENTAL PROPERTY, INV RELATED, STAMFORD, CT, 100% OWNER, START 12/12/2017, 10 HOURS PER MONTH/0 DURING TRADING, LANDLORD.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-10 |
| S63 | Uniform Securities Agent State Law Examination | 2002-03-29 |
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