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Wells Fargo Clearing Services, LLC CRD 19616
$671B regulatory AUM 5,302 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2024-01-19 |
| TX | RA | APPROVED | 2024-01-19 |
Branch Locations
1453 4Th Street Se [Office Of Convenience], Mason City, IA 50401 • United States
10 N Washington Nw Center Ste 201, Mason City, IA 50401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| North Iowa Advisors | Clear Lake | IA | 05/2014 | 05/2020 |
| Cambridge Investment Research, Inc. | Fairfield | IA | 07/2016 | 06/2020 |
| Cambridge Investment Research Advisors, Inc. | Fairfield | IA | 07/2016 | 06/2020 |
| Lpl Financial, Llc | Mason City | IA | 06/2020 | 01/2024 |
| Wells Fargo Clearing Services, Llc | Mason City | IA | 01/2024 | Present |
RENTAL PROPERTY; INV. RELATED; MASON CITY, IA; 100% OWNERSHIP; COMMERCIAL RENTAL PROPERTY; START DATE 1/15/2023; 2 HRS PER MONTH; 0 HRS DURING BUSINESS HOURS. COMMERCIAL OFFICE SPACE, INVT RELATED, MASON CITY, IA, 100% OWNERSHIP, START DATE 1/19/2024, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER OF COMMERCIAL OFFICE SPACE. FARM LAND RENTAL PROPERTY; INV RELATED;NORA SPRINGS,IA; REAL ESTATE/INVESTMENT;50% OWNERSHIP; ; START DATE: 07/01/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-29 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-16 |
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