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Christopher John Cobb

Wells Fargo Clearing Services, LLC

New York, NY

CRD 4694558

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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
NY RA APPROVED 2021-08-19
FL RA APPROVED 2021-03-25
TX RA APPROVED_RES 2011-10-26
NJ RA APPROVED 2010-09-30
CT RA APPROVED 2006-08-15
  • NY RA
    APPROVED
    Since 2021-08-19
  • FL RA
    APPROVED
    Since 2021-03-25
  • TX RA
    APPROVED_RES
    Since 2011-10-26
  • NJ RA
    APPROVED
    Since 2010-09-30
  • CT RA
    APPROVED
    Since 2006-08-15

Branch Locations

535 Madison Ave 16Th Fl, New York, NY 10022 • 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 Advisors Llc New York NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
Other Businesses

CLASSIC SIX, LLC; NOT INVESTMENT RELATED; PECONIC,NY; 1% OWNERSHIP; START DATE 12/01/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; PASSIVE OWNER IN CLOTHING STORE. SAG HARBOR HISTORICAL MUSEUM; NOT INV RELATED; TREASURER; START 10/26/2023; 5 HOURS PER MONTH; 1 HOUR DURING TRADING; REPORTING AND MONITERING BUDGET AND EXPENSES. PIES WITH ABE LLC ; INV RELATED;NEW YORK,NY; CATERING ;50% OWNERSHIP; START DATE: 06/25/2026; 20 HRS PER MONTH; 0 HRS DURING TRADING;

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-15
  • S66 Uniform Combined State Law Examination
    2004-07-15

View on SEC IAPD

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