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Vaishali Ketan Trivedi

Wells Fargo Clearing Services, LLC

Charlotte, NC

Fort Mill, SC

CRD 5209977

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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
SC RA APPROVED 2016-03-02
  • SC RA
    APPROVED
    Since 2016-03-02

Branch Locations

550 S Tryon St 44Th & 45Th Fls, Charlotte, NC 28202 • United States

2890 Highway 160 W, Fort Mill, SC 29708 • 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. Rock Hill SC 02/2016 11/2016
Wells Fargo Bank Na Rock Hill SC 02/2016 Present
Wells Fargo Clearing Services, Llc Rock Hill SC 11/2016 Present
  • 02/2016 → 11/2016
    Wells Fargo Advisors, Llc.
    Rock Hill, SC
  • 02/2016 → Present
    Wells Fargo Bank Na
    Rock Hill, SC
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    Rock Hill, SC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-12-06
S63 Uniform Securities Agent State Law Examination 2007-06-25
  • S65 Uniform Investment Adviser Law Examination
    2007-12-06
  • S63 Uniform Securities Agent State Law Examination
    2007-06-25
Other Names
  • Vaishali Ketan Trivedi

View on SEC IAPD

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