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Michelle Joy Moldenhauer-Smart

Wells Fargo Clearing Services, LLC

Rolling Hills Estates, CA

CRD 3086696

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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_RES 2014-10-24
CA RA APPROVED 2013-03-28
  • TX RA
    APPROVED_RES
    Since 2014-10-24
  • CA RA
    APPROVED
    Since 2013-03-28

Branch Locations

500 Silver Spur Rd 3Rd Fl Ste 300, Rolling Hills Estates, CA 90275 • 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
Wachovia Securities, Llc Richmond VA 06/1998 Present
Wells Fargo Advisors, Llc Rolling Hills Estates CA 06/1998 11/2016
Wells Fargo Clearing Services, Llc Rolling Hills Estates CA 11/2016 Present
  • 06/1998 → Present
    Wachovia Securities, Llc
    Richmond, VA
  • 06/1998 → 11/2016
    Wells Fargo Advisors, Llc
    Rolling Hills Estates, CA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Rolling Hills Estates, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-27
  • S66 Uniform Combined State Law Examination
    2013-03-27
Other Names
  • Michelle Joy Moldenhauer
  • Michelle Joy Anderson
  • Michelle Joy Smart

View on SEC IAPD

Nearby Firms

KEYMARK FINANCIAL
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
LPL FINANCIAL LLC

Nearby Investors

MARK ANTHONY BOUJIKIAN
MICHELLE NUTTMAN
JOHN ANDRAOS

Nearby Offices

KEYMARK FINANCIAL · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · ROLLING HILLS ESTATES, CA

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