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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
TX RA APPROVED 2017-01-27
AZ RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2017-01-27
  • AZ RA
    APPROVED
    Since 2011-01-03

Branch Locations

5050 N 24Th St, Phoenix, AZ 85016 • United States

8601 N Scottsdale Rd Ste 150 [Tl-Rbo], Scottsdale, AZ 85253 • United States

5033 N 7Th St, Phoenix, AZ 85014 • United States

8900 N 7Th St, Phoenix, AZ 85020 • 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 Phoenix AZ 01/2011 11/2016
Wells Fargo Clearing Services, Llc Phoenix AZ 11/2016 Present
Previous Registrations
  • 2009-12-17 → 2011-01-03
    Wells Fargo Investments, Llc
    Phoenix, AZ
  • 2007-02-08 → 2009-12-07
    Chase Investment Services Corp.
    Buckeye, AZ
    Buckeye, AZ
    Peoria, AZ
    Glendale, AZ
  • 1998-06-29 → 2006-10-05
    Rockville, MD
    North Bethesda, MD
Other Businesses

RENTAL PROPERTY VIA AIR BNB, INV RELATED, PHOENIX, AZ, 100% OWNERSHIP, START 2/4/2017, 2 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-05-08
  • S66 Uniform Combined State Law Examination
    1998-05-08
Other Names
  • Scott H Hoffecker

View on SEC IAPD

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