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Albert Kurt Hecht

Wells Fargo Clearing Services, LLC

Birmingham, AL

CRD 2854426

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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
TX RA APPROVED_RES 2024-06-19
AL RA APPROVED 2016-10-17
  • TX RA
    APPROVED_RES
    Since 2024-06-19
  • AL RA
    APPROVED
    Since 2016-10-17

Branch Locations

2801 Hwy 280 S Ste 1-400, Birmingham, AL 35223 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Birmingham AL 10/2016 11/2016
Unemployed Birmingham AL 03/2016 10/2016
Wells Fargo Clearing Services, Llc Birmingham AL 11/2016 Present
  • 10/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Birmingham, AL
  • 03/2016 → 10/2016
    Unemployed
    Birmingham, AL
  • 11/2016 → Present
    Birmingham, AL
Previous Registrations
  • 2009-06-01 → 2016-09-27
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Orland Park, IL
    Birmingham, AL
  • 2005-04-04 → 2009-06-01
    Chicago, IL
    Chicago, IL
  • 1999-04-30 → 2005-04-05
    Banc One Securities Corporation
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-03-07
S63 Uniform Securities Agent State Law Examination 1997-03-14
  • S65 Uniform Investment Adviser Law Examination
    2000-03-07
  • S63 Uniform Securities Agent State Law Examination
    1997-03-14

View on SEC IAPD

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