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Ruth Ann Allen

Wells Fargo Clearing Services, LLC

Minneapolis, MN

St. Louis, MO

CRD 2851750

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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
MN RA APPROVED 2013-11-06
NC RA APPROVED 2013-05-06
  • MN RA
    APPROVED
    Since 2013-11-06
  • NC RA
    APPROVED
    Since 2013-05-06

Branch Locations

550 S 4Th St 14Th Fl [Regional Supervision], Minneapolis, MN 55415 • United States

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • 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
Transamerica Capital Inc. Denver CO 04/2004 Present
  • 04/2004 → Present
    Transamerica Capital Inc.
    Denver, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-09-27
S63 Uniform Securities Agent State Law Examination 1998-05-07
  • S66 Uniform Combined State Law Examination
    2012-09-27
  • S63 Uniform Securities Agent State Law Examination
    1998-05-07
Other Names
  • Ruth Ann Brager
  • Ruth Ann Brager

View on SEC IAPD

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