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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
NJ RA APPROVED 2015-09-24
  • NJ RA
    APPROVED
    Since 2015-09-24

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

331 Newman Springs Rd Bldg 2, 3Rd Fl, Red Bank, NJ 07701 • 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 St. Louis MO 04/2010 11/2016
Wells Fargo Clearing Services, Llc St. Louis MO 11/2016 Present
Other Businesses

RENTAL PROPERTY; INV-RELATED; RED BANK, NJ; 100% OWNERSHIP; START: 01/01/2000; HOURS: 2 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD RENTAL PROPERTY; INV-RELATED; BELFORD, NJ; 100% OWNERSHIP; START: 01/01/2000; HOURS: 2 PER MONTH - 0 DURING TRADING; DUTIES: LANDLORD

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-24
S63 Uniform Securities Agent State Law Examination 2007-03-09
  • S66 Uniform Combined State Law Examination
    2015-09-24
  • S63 Uniform Securities Agent State Law Examination
    2007-03-09
Other Names
  • Kenneth S Jr Dammann
  • Kenneth Steven Dammann

View on SEC IAPD

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