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Sandra Michele Penton

Wells Fargo Clearing Services, LLC

Atlanta, GA

Cumming, GA

CRD 4558242

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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
GA RA APPROVED 2015-07-07
  • GA RA
    APPROVED
    Since 2015-07-07

Branch Locations

3235 Peachtree Rd Ne 1St, 2Nd & 4Th Fls, Atlanta, GA 30305 • United States

106 W Maple St [G1/G3-Rbo], Cumming, GA 30040 • 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 Bank, N.A. Atlanta GA 04/2009 Present
Wells Fargo Advisors Llc Atlanta GA 09/2010 11/2016
Wells Fargo Clearing Services, Llc Atlanta GA 11/2016 Present
  • 04/2009 → Present
    Wells Fargo Bank, N.A.
    Atlanta, GA
  • 09/2010 → 11/2016
    Wells Fargo Advisors Llc
    Atlanta, GA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-06
S63 Uniform Securities Agent State Law Examination 2002-09-06
  • S66 Uniform Combined State Law Examination
    2015-07-06
  • S63 Uniform Securities Agent State Law Examination
    2002-09-06

View on SEC IAPD

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