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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_RES | 2024-01-10 |
| CA | RA | APPROVED | 2017-12-08 |
Branch Locations
101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States
301 University Ave 2Nd, 3Rd, & 4Th Fls [Nd-Rbo], Palo Alto, CA 94301 • United States
Mountain View, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Prumentum Group | Los Gatos | CA | 01/2016 | 08/2017 |
| Brightplan, Llc | Los Gatos | CA | 08/2016 | 08/2017 |
| Wells Fargo Clearing Services | Palo Alto | CA | 12/2017 | Present |
| Wells Fargo Bank | Palo Alto | CA | 12/2017 | Present |
| Woods Asset Management | Los Altos | CA | 09/2017 | 11/2017 |
WOODS ASSET MANAGEMENT LLC. GARY WOODS FAMILY PROPERTIES LLLP, INV RELATED, DENVER, CO, 24% OWNER, START: 12/31/1998, 0 HOURS, NO DUTIES.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-27 |
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