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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 2025-04-11
SC RA APPROVED 2018-11-14
  • TX RA
    APPROVED
    Since 2025-04-11
  • SC RA
    APPROVED
    Since 2018-11-14

Branch Locations

1505 W O Ezell Blvd, Spartanburg, SC 29301 • United States

1320 Main St Ste 600, Columbia, SC 29201 • United States

5870 Reidville Rd, Moore, SC 29369 • United States

401 E Rutherford St, Landrum, SC 29356 • United States

1206 Asheville Hwy, Spartanburg, SC 29303 • United States

1714 Augusta St, Greenville, SC 29605 • United States

101 N Limestone St, Gaffney, SC 29340 • 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
Cetera Advisor Networks Llc El Segundo CA 01/2013 11/2018
Wells Fargo Clearing Services, Llc Greenville SC 11/2018 Present
Founders Federal Credit Union Spartanburg SC 11/2018 Present
Lpl Financial Llc Spartanburg SC 11/2018 11/2018
Previous Registrations
  • 2010-03-03 → 2018-11-21
    Cetera Wealth Services, Llc
    Spartanburg, SC
  • 2016-09-02 → 2018-11-16
    Carroll Financial Associates Inc
    Charlotte, NC
  • 2018-11-14 → 2018-11-15
    Spartanburg, SC
    Fort Mill, SC
  • 2008-05-15 → 2009-12-10
    St Louis, MO
    Spartanburg, SC
    Spartanburg, SC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-04-24
  • S66 Uniform Combined State Law Examination
    2008-04-24
Designations
  • Certified Financial Planner
Other Names
  • Derek James Hawk

View on SEC IAPD

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