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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_RES | 2020-07-15 |
| VA | RA | APPROVED | 2005-06-15 |
Branch Locations
1021 E Cary St 22Nd Fl James Center Ii, Richmond, VA 23219 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Richmond | VA | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Richmond | VA | 11/2016 | Present |
SMK, FAMILY LLC; INV RELATED; MIDLOTHIAN, VA; HOLDING COMPANY; 100% OWNERSHIP; START 12/1/2020; 0 HOURS PER MONTH, 0 DURING TRADING; INVESTOR. RENT READY RVA, LLC; NOT INV. RELATED; MIDLOTHIAN,VA; 50% OWNERSHIP; START DATE 03/20/2023; NUMBER OF HOURS PER MONTH 2; NUMBER OF HOUTRS DURING TRADING 0; REAL ESTATE.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-09-11 |
| S63 | Uniform Securities Agent State Law Examination | 1997-05-30 |
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