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Brian Richard Doughty

Wells Fargo Clearing Services, LLC

Kirkland, WA

Seattle, WA

CRD 4695651

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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_RES 2025-11-08
WA RA APPROVED 2024-11-07
  • TX RA
    APPROVED_RES
    Since 2025-11-08
  • WA RA
    APPROVED
    Since 2024-11-07

Branch Locations

Kirkland, WA • United States

999 3Rd Ave [Wv-Rbo], Seattle, WA 98104 • 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
Ameriprise Financial Services, Inc. Bellevue WA 08/2015 03/2020
Ameriprise Financial Services, Llc Bellevue WA 03/2020 11/2024
Wells Fargo Clearing Services, Llc Seattle WA 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-12
  • S66 Uniform Combined State Law Examination
    2004-01-12

View on SEC IAPD

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