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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 2025-10-08
NV RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2025-10-08
  • NV RA
    APPROVED
    Since 2011-01-03

Branch Locations

8474 Rozita Lee Ave Ste 400 [Sd-Rbo], Las Vegas, NV 89113 • United States

4075 S Fort Apache Rd, Las Vegas, NV 89147 • United States

8474 Rozita Lee Ave 4Th Fl [Kv-Rbo], Las Vegas, NV 89113 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Las Vegas NV 01/2011 11/2016
Wells Fargo Clearing Services, Llc Las Vegas NV 11/2016 Present
Previous Registrations
  • 2007-10-01 → 2011-01-03
    Wells Fargo Investments, Llc
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
  • 2007-08-03 → 2007-09-27
    Banc Of America Investment Services, Inc.
    Las Vegas, NV
    Pahrump, NV
    Las Vegas, NV
    Las Vegas, NV
    Las Vegas, NV
  • 2005-05-09 → 2007-06-27
    Canfield, OH
    Las Vegas, NV
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-05-06
  • S66 Uniform Combined State Law Examination
    2005-05-06
Designations
  • Certified Financial Planner

View on SEC IAPD

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