Best Investors Account Sign in

David John Higgins

Wells Fargo Clearing Services, LLC

Portsmouth, NH

CRD 4719601

Claim This Profile
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 2016-04-20
NH RA APPROVED 2008-01-01
  • TX RA
    APPROVED_RES
    Since 2016-04-20
  • NH RA
    APPROVED
    Since 2008-01-01

Branch Locations

1 Harbour Pl Ste 300, Portsmouth, NH 03801 • 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 Portsmouth NH 05/2009 11/2016
Wells Fargo Clearing Services, Llc Portsmouth NH 11/2016 Present
Previous Registrations
  • 2004-01-01 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Portsmouth, NH
    Portsmouth, NH
    St. Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-12-22
  • S66 Uniform Combined State Law Examination
    2003-12-22

View on SEC IAPD

Nearby Firms

CHARTER OAK CAPITAL MANAGEMENT
NVEST FINANCIAL, LLC
DAVID WENDELL ASSOCIATES, INC.

Nearby Investors

TODD MICHAEL CESCA
Renee Elizabeth Hickey
KAREN LEE ZARAMBA

Nearby Offices

CHARTER OAK CAPITAL MANAGEMENT · PORTSMOUTH, NH
NVEST FINANCIAL, LLC · PORTSMOUTH, NH
DAVID WENDELL ASSOCIATES, INC. · PORTSMOUTH, NH

More in Portsmouth, NH

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor