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Trisha L Baggs

Wells Fargo Clearing Services, LLC

Scottsdale, AZ

Gilbert, AZ

CRD 5463318

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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 2022-11-08
AZ RA APPROVED 2022-03-07
  • TX RA
    APPROVED
    Since 2022-11-08
  • AZ RA
    APPROVED
    Since 2022-03-07

Branch Locations

8601 N Scottsdale Rd Ste 100 [Va-Rbo], Scottsdale, AZ 85253 • United States

Gilbert, AZ • 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 Bank Scottsdale AZ 08/2016 Present
Wells Fargo Clearing Services Scottsdale AZ 10/2021 Present
  • 08/2016 → Present
    Wells Fargo Bank
    Scottsdale, AZ
  • 10/2021 → Present
    Wells Fargo Clearing Services
    Scottsdale, AZ
Other Businesses

AZ LAW LICENSE, NOT INV RELATED, STATE OF ARIZONA, START 10/24/2003, ZERO HOURS PER MONTH, ZERO HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-02-24
S63 Uniform Securities Agent State Law Examination 2008-08-08
  • S66 Uniform Combined State Law Examination
    2022-02-24
  • S63 Uniform Securities Agent State Law Examination
    2008-08-08
Other Names
  • Trisha Leigh Agersea
  • Trisha Leigh Martin
  • Trisha Leigh Baggs
  • Trisha Baggs

View on SEC IAPD

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