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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2014-06-02 |
| CA | RA | APPROVED | 2011-07-15 |
Branch Locations
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
350 W Colorado Blvd 3Rd Fl Ste B, Pasadena, CA 91105 • United States
Saugus, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Westlake Village | CA | 07/2011 | 11/2016 |
| Wells Fargo Bank, N.A. | Westlake Village | CA | 01/2011 | Present |
| Wells Fargo Clearing Services, Llc | Westlake Village | CA | 11/2016 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-01-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-19 |
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