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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
TX RA APPROVED_RES 2017-03-27
CA RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2017-03-27
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

420 Montgomery St 7Th Fl [Nf*/Ng-Rbo], San Francisco, CA 94104 • United States

655 8Th St, San Francisco, CA 94103 • United States

286 King St, San Francisco, CA 94107 • United States

San Mateo, CA • 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
Baden Coin Laundry, Llc South San Francisco CA 01/2006 Present
Wells Fargo Advisors Llc San Francisco CA 01/2011 11/2016
Wells Fargo Clearing Services, Llc San Francisco CA 11/2016 Present
  • 01/2006 → Present
    Baden Coin Laundry, Llc
    South San Francisco, CA
  • 01/2011 → 11/2016
    Wells Fargo Advisors Llc
    San Francisco, CA
  • 11/2016 → Present
    San Francisco, CA
Previous Registrations
  • 2007-07-23 → 2011-01-03
    Wells Fargo Investments, Llc
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
Other Businesses

BADEN COIN LAUNDRY, LLC; NOT INV RELATED; SOUTH SAN FRANCISCO, CA; 33.33% OWNERSHIP; START 1/1/2006; 4 HOURS PER MONTH, 0 DURING TRADING; BOOKKEEPING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-07-20
  • S66 Uniform Combined State Law Examination
    2007-07-20
Other Names
  • Theresa E. Ruiz

View on SEC IAPD

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