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Elizabeth Ellen Swart

Wells Fargo Clearing Services, LLC

Janesville, WI

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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 2023-04-25
WI RA APPROVED 2018-11-14
  • TX RA
    APPROVED
    Since 2023-04-25
  • WI RA
    APPROVED
    Since 2018-11-14

Branch Locations

400 Midland Ct Ste 103, Janesville, WI 53546 • 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
M & I Insurance Services Milwaukee WI 09/2005 11/2018
M & I Trust Milwaukee WI 09/2005 11/2018
Bmo Harris Bank Milwaukee WI 07/2011 11/2018
Bmo Harris Financial Advisors, Inc. Janesville WI 08/2012 11/2018
Wells Fargo Clearing Services Llc Janesville WI 11/2018 Present
  • 09/2005 → 11/2018
    M & I Insurance Services
    Milwaukee, WI
  • 09/2005 → 11/2018
    M & I Trust
    Milwaukee, WI
  • 07/2011 → 11/2018
    Bmo Harris Bank
    Milwaukee, WI
  • 08/2012 → 11/2018
    Bmo Harris Financial Advisors, Inc.
    Janesville, WI
  • 11/2018 → Present
    Wells Fargo Clearing Services Llc
    Janesville, WI
Previous Registrations
  • 2012-08-01 → 2018-11-15
    Bmo Harris Financial Advisors, Inc.
    Janesville, WI
    Janesville, WI
    Janesville, WI
    Edgerton, WI
    Janesville, WI
  • 2005-09-15 → 2012-08-01
    M&I Financial Advisors, Inc
    Janesville, WI
    Janesville, WI
    Madison, WI
    Delavan, WI
    Janesville, WI
    Janesville, WI
  • 2010-04-28 → 2012-04-18
    M&I Investment Management Corp.
    Milwaukee, WI
Other Businesses

POWER OF ATTORNEY FOR MOTHER; INV. RELATED; MILTON, WI; START DATE 11/1/2023; 1 HR PER MONTH; 1 HR DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-03
S63 Uniform Securities Agent State Law Examination 2004-06-01
  • S65 Uniform Investment Adviser Law Examination
    2005-10-03
  • S63 Uniform Securities Agent State Law Examination
    2004-06-01
Designations
Other Names
  • Elizabeth Ellen Buss
  • Elle Siegert
  • Elizabeth Ellen Siegert
  • Elle Swart

View on SEC IAPD

Other Firms

ROBERT W. BAIRD & CO. INCORPORATED
AMERIPRISE FINANCIAL SERVICES, LLC
JOHNSON WEALTH INC.
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
LPL FINANCIAL LLC
BELPOINTE ASSET MANAGEMENT LLC
THRIVENT INVESTMENT MANAGEMENT INC.
EDWARD JONES

Other Investors

Jennifer Rebecca Schwarze
Ethan C Dahlberg
Hannah Brooke Campbell
DEREK MICHAEL GREENE
BRIAN JOHN DONNELLY
GENISE MARIE BRANDT
ELIZABETH A BERGMANN
SEAN MICA KNOTT

Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · Janesville, WI
AMERIPRISE FINANCIAL SERVICES, LLC · Janesville, WI
JOHNSON WEALTH INC. · Janesville, WI
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · JANESVILLE, WI
LPL FINANCIAL LLC · JANESVILLE, WI
BELPOINTE ASSET MANAGEMENT LLC · JANESVILLE, WI
BELPOINTE ASSET MANAGEMENT LLC · Janesville, WI
THRIVENT INVESTMENT MANAGEMENT INC. · Janesville, WI

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