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Shane J Walock

Wells Fargo Clearing Services, LLC

Sauk Rapids, MN

Minneapolis, MN

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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
SD RA APPROVED 2020-07-27
TX RA APPROVED_RES 2018-07-18
MN RA APPROVED 2018-03-26
  • SD RA
    APPROVED
    Since 2020-07-27
  • TX RA
    APPROVED_RES
    Since 2018-07-18
  • MN RA
    APPROVED
    Since 2018-03-26

Branch Locations

115 1St St S, Sauk Rapids, MN 56379 • United States

90 S 7Th St 10Th & 11Th Fls [Gq-Rbo], Minneapolis, MN 55402 • 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
Scottrade, Inc. Waite Park MN 06/2009 12/2017
Cetera Advisor Networks Llc El Segundo CA 12/2017 03/2018
Cetera Advisors Llc Denver CO 12/2017 03/2018
Cetera Financial Specialists Llc Schaumburg IL 12/2017 03/2018
Wells Fargo Clearing Services, Llc Saint Paul MN 03/2018 Present
  • 06/2009 → 12/2017
    Scottrade, Inc.
    Waite Park, MN
  • 12/2017 → 03/2018
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 12/2017 → 03/2018
    Cetera Advisors Llc
    Denver, CO
  • 12/2017 → 03/2018
    Cetera Financial Specialists Llc
    Schaumburg, IL
  • 03/2018 → Present
    Wells Fargo Clearing Services, Llc
    Saint Paul, MN
Previous Registrations
  • 2018-01-04 → 2018-03-27
    Cetera Wealth Services, Llc
    St Cloud, MN
  • 2017-04-20 → 2017-12-05
    Scottrade Investment Management
    Saint Louis, MO
  • 2006-01-03 → 2009-06-01
    Wells Fargo Investments, Llc
    Minneapolis, MN
    Bloomington, MN
    Minneapolis, MN
    Minneapolis, MN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-12-01
S63 Uniform Securities Agent State Law Examination 1997-08-08
  • S65 Uniform Investment Adviser Law Examination
    2005-12-01
  • S63 Uniform Securities Agent State Law Examination
    1997-08-08
Other Names
  • Shane Walock
  • Shane Joseph Walock
  • Shane J Walock
  • Shane Walock

View on SEC IAPD

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PFS INVESTMENTS INC.
OSAIC WEALTH, INC.
PROSPERA FINANCIAL SERVICES, INC.
SPC
EDWARD JONES
STATE FARM INVESTMENT MANAGEMENT CORP.
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Other Investors

APRIL ANNETTE MASTEY
MASON DONALD PULLIS
JEFFREY MICHAEL DORFSMAN
NAOMI ANN KOWALIK
Christopher Danny Chapman
DANNY JAMES CHAPMAN
MARK FRANCIS REIMER
Martin Dale Radi

Other Offices

LPL FINANCIAL LLC · SAUK RAPIDS, MN
PFS INVESTMENTS INC. · SAUK RAPIDS, MN
OSAIC WEALTH, INC. · SAUK RAPIDS, MN
PROSPERA FINANCIAL SERVICES, INC. · sartell, MN
SPC · Sartell, MN
EDWARD JONES · SAUK RAPIDS, MN
STATE FARM INVESTMENT MANAGEMENT CORP. · Sauk Rapids, MN
STATE FARM INVESTMENT MANAGEMENT CORP. · Sauk Rapids, MN

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