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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 | 2023-07-31 |
| CO | RA | APPROVED | 2017-06-16 |
Branch Locations
1137 E South Boulder Rd, Louisville, CO 80027 • United States
1700 Lincoln St 10Th & 11Th Fls [Ma/Md-Rbo], Denver, CO 80203 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bank Of The West | Thornton | CO | 09/2011 | 06/2017 |
| Wells Fargo Clearing Services, Llc | Denver | CO | 06/2017 | Present |
FOURD, LLC; INVESTMENT RELATED; BROOMFIELD, CO; 50% OWNERSHIP; START DATE 07/03/2017; 1 HOUR PER MONTH / 0 DURING TRADING HOURS, WORK WITH PROPERTY MANAGEMENT COMPANIES WHEN NEEDS ARISE ON RENTALS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-05-08 |
| S63 | Uniform Securities Agent State Law Examination | 1998-04-30 |
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