Lawrence Christopher Douglas

Wells Fargo Clearing Services, LLC

Minneapolis, MN

Tarpon Springs, FL

CRD 2964243

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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

Authority	Category	Status	Date
MN	RA	APPROVED	2013-11-13
TX	RA	APPROVED_RES	2012-07-11

MN RA
APPROVED

Since 2013-11-13
TX RA
APPROVED_RES

Since 2012-07-11

Branch Locations

550 S 4Th St 13Th Fl [Tpb Services], Minneapolis, MN 55415 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Minneapolis	MN	05/2012	11/2016
Wells Fargo Bank Na	Minneapolis	MN	05/2012	Present
Wells Fargo Clearing Services, Llc	Minneapolis	MN	11/2016	Present

05/2012 → 11/2016

Wells Fargo Advisors, Llc

Minneapolis, MN
05/2012 → Present

Wells Fargo Bank Na

Minneapolis, MN
11/2016 → Present

Wells Fargo Clearing Services, Llc

Minneapolis, MN

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2007-09-19

S63 Uniform Securities Agent State Law Examination

2007-09-19

View on SEC IAPD

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