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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
NC RA APPROVED 2020-03-12
  • NC RA
    APPROVED
    Since 2020-03-12

Branch Locations

One North Jefferson Avenue Mail Code: H0004-05G, St. Louis, MO 63103 • UNITED STATES

1525 W W T Harris Blvd, Charlotte, NC 28262 • 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 Charlotte NC 04/2012 11/2016
Wells Fargo Clearing Services, Llc Charlotte NC 11/2016 09/2019
Wells Fargo Clearing Services, Llc Charlotte NC 10/2019 Present
Previous Registrations
Other Businesses

RENTAL PROPERTY; INV RELATED; CHARLOTTE, NC; 100% OWNERSHIP; START 11/15/2015; 0 HOURS PER MONTH, 0 DURING TRADING; LANDLORD. 360 STUDENT ATHLETE; NON INV RELATED; CHARLOTTE, NC; 25% OWNERSHIP; START 2/2020; 20 HRS/MO; 0 DURING TRADING; PROVIDE TRAINING FOR BODY, MIND & PARTICIPATE IN LOCAL COMMUNITY. MELO PROPERTIES GROUP LLC, INV RELATED, DAVIDSON, NC, 100% OWNERSHIP, START 12/15/2021, 2 HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDS RENTAL PROPERTY.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-12-23
S63 Uniform Securities Agent State Law Examination 2007-04-18
  • S66 Uniform Combined State Law Examination
    2017-12-23
  • S63 Uniform Securities Agent State Law Examination
    2007-04-18
Other Names
  • Rhamel Curtis Brown

View on SEC IAPD

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