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Laura Kane

Wells Fargo Clearing Services, LLC

Oak Brook, IL

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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
TX RA APPROVED_RES 2023-07-06
IL RA APPROVED 2023-06-05
  • TX RA
    APPROVED_RES
    Since 2023-07-06
  • IL RA
    APPROVED
    Since 2023-06-05

Branch Locations

1515 W 22Nd St Ste 700, Oak Brook, IL 60523 • 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
Morgan Stanley Oak Brook IL 09/2009 06/2021
Rbc Capital Markets, Llc Oakbrook Terrace IL 01/2022 01/2022
Unempoyed Sugar Grove IL 06/2021 12/2021
Stifel Nicolaus & Co Inc Naperville IL 01/2022 05/2023
Wells Fargo Clearing Services, Llc Oak Brook IL 05/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-15
S63 Uniform Securities Agent State Law Examination 2019-01-25
  • S66 Uniform Combined State Law Examination
    2019-11-15
  • S63 Uniform Securities Agent State Law Examination
    2019-01-25
Other Names
  • Laura Anne Hess
  • Laura Anne Kane
  • Laura Kane

View on SEC IAPD

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ERGAWEALTH ADVISORS, INC.
CETERA INVESTMENT ADVISERS LLC
LPL FINANCIAL LLC
GEIGER WEALTH MANAGEMENT

Other Investors

TODD BRENDAN SCHROEDER
MICHAEL CHRISTOPHER LEE
DANIEL P SCHIPITSCH
ALAN P MADEJ
Anthony Joesph Bittman
Joseph Herr
Lauren A Mlady
Danieh Kasar

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL

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