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Kimberly Modenbach

Wells Fargo Clearing Services, LLC

Raleigh, NC

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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
NC RA APPROVED 2010-10-26
  • NC RA
    APPROVED
    Since 2010-10-26

Branch Locations

3105 Glenwood Ave Stes 201 & 302, Raleigh, NC 27612 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Raleigh NC 10/2010 11/2016
Wells Fargo Clearing Services, Llc Raleigh NC 11/2016 Present
Previous Registrations
  • 2009-06-01 → 2010-10-21
    Morgan Stanley
    Raleigh, NC
  • 2008-08-26 → 2009-06-01
    Morgan Stanley & Co. Llc
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-08-22
S63 Uniform Securities Agent State Law Examination 2004-03-02
  • S66 Uniform Combined State Law Examination
    2008-08-22
  • S63 Uniform Securities Agent State Law Examination
    2004-03-02
Other Names
  • Kim Modenbach
  • Kimberly Brown Modenbach

View on SEC IAPD

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Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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