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Christopher Alan Vincent

Wells Fargo Clearing Services, LLC

Charlotte, NC

Charlotte, NC

CRD 2791987

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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
SC RA APPROVED 2024-07-03
TX RA APPROVED_RES 2022-03-29
NC RA APPROVED 2001-12-31
  • SC RA
    APPROVED
    Since 2024-07-03
  • TX RA
    APPROVED_RES
    Since 2022-03-29
  • NC RA
    APPROVED
    Since 2001-12-31

Branch Locations

13715 Conlan Cir, Charlotte, NC 28277 • United States

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • 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 Charlotte NC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-04
S63 Uniform Securities Agent State Law Examination 1996-12-03
  • S65 Uniform Investment Adviser Law Examination
    1997-08-04
  • S63 Uniform Securities Agent State Law Examination
    1996-12-03
Other Names
  • Chris Vincent

View on SEC IAPD

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