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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 | 2017-09-26 |
| MO | RA | APPROVED | 2012-10-12 |
Branch Locations
190 Carondelet Plz Ste 800, Clayton, MO 63105 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | Clayton | MO | 10/2012 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Clayton | MO | 11/2016 | Present |
VARIETY THE CHILDREN'S CHARITY; INVESTMENT RELATED; ST. LOUIS,MO; INVESTMENT COMMITTEE MEMBER; START DATE 03/13/2019; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; ATTENDING QUARTERLY MEETINGS TO ADVISE ON THE ORGANIZATIONS INVESTMENT ALLOCATION, THE INVESTMENT MANAGERS, AND ADVISING ON IF THE INVESTMENT ALLOCATION IS ALIGNED WITH THE INVESTMENT POLICY STATEMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 2003-06-11 |
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