Joanna Helene Ferguson

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-27
NJ	RA	APPROVED	2009-12-11

NY RA
APPROVED

Since 2021-07-27
NJ RA
APPROVED

Since 2009-12-11

Branch Locations

5789 Widewaters Pkwy 2Nd Fl, Dewitt, NY 13214 • 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

Organization	City	State	From	To
Wells Fargo Advisors Llc	Dewitt	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	Dewitt	NY	11/2016	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

Dewitt, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

Dewitt, NY

Other Businesses

VILLAGE HARDWARE; NON INVESTMENT RELATED; BALDWINSVILLE, NY 13027; GIFT SHOP BUYER; START DATE=9/1/09; 20 HRS PER MTH/0 DURING MARKET; REPLENISH STOCK THAT IS SOLD.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2009-05-26
S63	Uniform Securities Agent State Law Examination	2009-04-03

S65 Uniform Investment Adviser Law Examination

2009-05-26
S63 Uniform Securities Agent State Law Examination

2009-04-03

Other Names

Joanna Ferguson

View on SEC IAPD

Employer firm

Current Employers

Wells Fargo Clearing Services, Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

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