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Sherri Ann Finney

Wells Fargo Clearing Services, LLC

West Des Moines, IA

Tarpon Springs, FL

CRD 4793032

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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
IA RA APPROVED 2011-01-03
  • IA RA
    APPROVED
    Since 2011-01-03

Branch Locations

6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • United States

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • 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 Invetments, Llc Des Moines IA 11/2008 Present
Wells Fargo Bank Des Moines IA 10/2008 Present
Wells Fargo Advisors Llc Des Moines IA 01/2011 11/2016
Wells Fargo Clearing Services, Llc Des Moines IA 11/2016 Present
  • 11/2008 → Present
    Wells Fargo Invetments, Llc
    Des Moines, IA
  • 10/2008 → Present
    Wells Fargo Bank
    Des Moines, IA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    Des Moines, IA
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Des Moines, IA
Previous Registrations
  • 2009-04-03 → 2011-01-03
    Wells Fargo Investments, Llc
    Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-04-02
S63 Uniform Securities Agent State Law Examination 2005-05-27
  • S66 Uniform Combined State Law Examination
    2009-04-02
  • S63 Uniform Securities Agent State Law Examination
    2005-05-27
Other Names
  • Sherri Ann Reeker

View on SEC IAPD

Nearby Firms

PRINCIPAL SECURITIES, INC.
COMMONWEALTH FINANCIAL NETWORK
FOSTER GROUP, INC.

Nearby Investors

DANIEL ALEXANDER ALLEN
JENNIE JEAN HENRY
PATRICK JOSEPH BYRNE

Nearby Offices

PRINCIPAL SECURITIES, INC. · West Des Moines, IA
COMMONWEALTH FINANCIAL NETWORK · West Des Moines, IA
PRINCIPAL SECURITIES, INC. · WEST DES MOINES, IA

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